Securities & Derivatives Analyst-c09
2 days ago
The Securities & Derivative Analyst 1 is an entry level position responsible for processing orders and transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Services team. The overall objective of this role is to assist in the clearance, settlement and investigation of client securities and derivatives transactions.
Mandatory requirements:
- Oversee middle office activities with emphasis on client account updates and adherence to compliance protocols
- Review conversion checklists and ensure seamless conversion of client accounts into managed programs.
- Maintain compliance with internal controls and regulatory standards; proactively communicate any discrepancies to relevant stakeholders.
- Analyze, review, and validate U.S. tax forms (W-9, W-8 series) with moderate to complex scenarios at Level 1.
- Submit service center requests for federal and FATCA withholding reversals in accordance with guidelines.
- Process and update client information such as address changes, Net worths, Employment Info, Demographic changes based on daily maintenance requests.
- Initiate and track Work Status Requests to ensure accurate updates across internal systems.
- Monitor key operational queues for tax forms and submit appropriate correction or escalation requests.
- Regularly review team mailboxes and system databases to ensure timely response and resolution of all items.
- Maintain and update standard operating procedures (SOPs); support a control-focused environment by adhering to documentation protocols.
- Assist with audit processes, including preparation of supporting documentation and communication records.
- Prepare daily, weekly, and monthly MIS reports for management review and audit readiness.
**Responsibilities**:
- Perform trade verifications to ensure accuracy of booking requests
- Generate and match trade confirmations according to the International Swaps and Derivatives Association (ISDA) templates
- Complete settlement tasks and daily rate revaluations accurately and on time
- Coordinate transaction processing issues to the appropriate department and collaborate on a solution
- Perform regulatory controls, account reconciliations, and record retention activities in accordance with established policies
- Prepare and submit periodic internal and external regulatory reports
- Participate in the periodic General Ledger (GL) proofing exercises as directed
Qualifications:
- Relevant experience preferred
- Fundamental understanding of Treasury products, accounting and regulatory policies
- Proven ability to perform various concurrent activities/projects in a high-risk environment
- Demonstrated knowledge of macros
- Consistently demonstrates clear and concise written and verbal communication skills
**Education**:
- Bachelor’s Degree/University degree or equivalent experience in Business, Accounting or Finance
This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.Job Family Group:
Operations - Transaction Services
- **Job Family**:
Securities and Derivatives Processing
- Time Type:
Most Relevant Skills
Please see the requirements listed above.
- Other Relevant Skills
For complementary skills, please see above and/or contact the recruiter.
View Citi’s EEO Policy Statement and the Know Your Rights poster.
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