Securities and Derivatives Senior Analyst

The Securities & Derivatives Sr Analyst is an intermediate 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 facilitate the clearance, settlement and investigation of client securities and derivatives transactions.

Responsibilities:

- Interact with the front office to ensure proper documentation received for new issue setup

- Interact with Issuers to ensure proper documentation received for MTN issues

- Process original issuances for Long Term Debt, MTNs, Structured Notes, etc

- Transfer Routine and Non-Routine Items

- Retire securities presented for buy-backs, etc.

- Interact with brokers to ensure proper documentation received for exchanges/conversions

- Perform 144A / Reg S Conversions / Exchanges / Warrants, ATOP

- Respond to Customer Service Inquiries

- Stop and replace / void checks

- Perform account maintenance on internal system (e.g. tax forms, addresses, B & C notices, etc)

- Process various Transaction Services tasks

- Conduct premise loss, mail, and lost security processing

- Adhere to applicable SEC turnaround regulations for transfers and inquiries

- Control presentations made over the window or through the mail

- Print issued certificates, checks, tax forms, statements, etc

- Perform MIS reporting

- Conduct quarterly self-tests

- Primary responsibility is to independently handle the daily processing of various bond related transactions: Original Issuance of Bonds; New Registered Holder Account Set Up; Transfers of Registered Holders; Bond Conversions; DWAC/FRAC; Fast Reconcilement; Tender/Exchanges

Recommended Qualifications: