Operations Specialist, Underwriting, Associate
Company: Sumitomo Mitsui Banking Corporation
Location: White Plains
Posted on: November 12, 2021
Overview: The Senior Operations Associate is both a counterparty
and Front Desk facing role that monitors the booking of
underwriting and fee-based transactions. This is a transactional
role whose primary responsibility is to ensure timely and accurate
processng of all fees for Nikko America with a frequent reference
to technical knowledge to more complex problems.
- Ensure that all Final Settlement Letters are received along
with the funds and matched to the appropriate deals.
- Record all fees related to securities economic business into
the system once validated.
- Work closely with Nikko America's Accounting Dept. to ensure
that all underwriting transactions are properly reflected in the
- Interact within the organization, especially Debt Capital
Markets/ Equity Capital Markets (DCM/ECM), including
Trading/Marketing, Product Control Group, Systems, Accounting,
Internal Audit, and Controllers when necessary to resolve problems
that may arise.
- Interact outside the organization, includes external auditors,
counterparties, providing assistance and documentation when needed.
- Advanced knowledge of underwriting processes and
- Functional knowledge and understanding of money transfer
- Functional knowledge of bank compliance rules and
- A customer service mindset with excellent ability to respond
with diplomacy under pressure in challenging situations.
- Excellent analytical skills, an eye for details and excellent
time management skills.
- Exceptional verbal and written communication skills.
- Operational knowledge of CHIPS, SWIFT, and Fedwire
- Adept at working and effectively collaborating with clients,
operations, and technology teams.
- Ability to identify problems, deal with complexity and respond
quickly to uncertainty.
- 2 to 5 years experience.
- BA/BS in Finance or Accounting.
- Series 7 or 99 preferred.
Keywords: Sumitomo Mitsui Banking Corporation, White Plains , Operations Specialist, Underwriting, Associate, Accounting, Auditing , White Plains, New York
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