Operations Analyst (Corp Actions-Ref Data)

New York, NY 10017

Posted: 01/07/2019 Industry: Analyst Job Number: 3585472

Operations Analyst (Corporate Actions & Reference Data)



We are looking for someone to fill in the role of a Corporate Actions/Reference Data Analyst. The candidate should also have qualities to understand the operations groups internal applications (Security Master, Front End Platform, Accounting System, and Reporting Tool). A good understanding on the synchronization and workflow of the different applications used within the operations group day to day is a must. Due to the volatile nature of this business and rapid technological improvements, the candidate would also be required to participate in testing phases during implementations and integrations of our internal applications and processes. While the major role of this candidate would be Corporate Actions, Sec Master, and Reference data management, a good understanding of the entire operational workflow process is recommended.



Corporate action transactions include both mandatory and voluntary corporate action-related custody and accounting processing requirements across our client s managed portfolios. This includes partial/full calls, tenders, redemptions, conversions, exchanges, mergers, and acquisitions across the various holdings. A key part of your role would be to communicate with the external counterparts (custodian, prime brokers, trustee, fund admins, etc ) to ensure all necessary changes are made to the valuation of the portfolio.

Full Scope of responsibilities is outlined below:
  • Daily interaction with clients, custodians, agents, and other business groups including the operations and accounting teams
  • Responsible for handling moderately intricate to extremely complex corporate action events across multiple counterparts
  • Receipt of custodian announcements, the scrubbing/comparison of data, and the notification of corporate action events to a specific client.
  • For all voluntary events, you would be responsible for soliciting and receiving responses from the Front Office and for submitting these instructions to the various custodians prior to their deadline dates
  • Responsible for submitting proxies on behalf of the front office
  • Will work on multiple internal systems, as well as other custodian proprietary online systems, to perform the above functions
  • Responsible for reviewing file folders for completion and compliance with operating procedures and execution of risk controls
  • Identifying and investigating corporate actions using relevant market information
  • Ongoing maintenance of Security Master T&C and UDF s across all Sec Master Platforms (includes but are not limited to below security types):
  • Loans (Term, Revolving, Delayed Draw)
  • Bonds (Corp, Gov t, CVB)
  • Credit Default Swaps
  • Equities (Stock, Depository Receipts, ETF s)
  • Forward Currency Contract
  • Options (FX, Index, Equity)
  • Interest Rate Swap
  • Mortgage Backed Sec
  • Work alongside our risk team to make sure new security set ups comply with Risk Policies
  • Maintain Sec Master Data in of all internal Security Master Platforms (Everest, WSO, VPM, AExeo) and understand synchronization between them.
  • Create and maintain all reference data in Everest, WSO, and VPM Below are the more commonly maintained data:
  • Country, Funds, Region, Fund Groups, Currency, Security Types, Holiday Calendar, Strategies, Executing Brokers, Issuers, Clearing Brokers, Exchange



The qualified candidate will possess a BS/BA degree or the equivalent of 2-5 years work experience in financial services operations with a minimum of 1-year Corporate Action/Security Master experience. Other essential qualifications are outlined below
  • Must be detail oriented, organized, and have the ability to work independently and as part of a team in a fast paced, deadline driven, high-risk environment.
  • Knowledge of Fixed Income Security types preferred
  • Everest, VPM, WSO, and Aexeo experience preferred
  • Customer service orientation is a must with excellent writing and verbal communication skills.
  • The ability to exhibit patience in teaching procedures to new associates is essential.
  • Experience using Microsoft Office (Excel, Outlook, and Word) is required

Michael Russo
Staffing Manager

Mike specializes in putting the right people in the right places as a Staffing Manager with our Direct Hire Division.  He enjoys working with candidates to find the right fit and working with clients to find the right people!  Mike enjoys golfing in his free time and binging Netflix shows.

Fun Fact:  Mike has played in an alumni softball game with Red Sox legends at Fenway Park and a charity hockey game with Bruins legends!

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