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Manager middle office investment operations
Michael Wild A.C.I.B
,
London ec2, United Kingdom
Experience
Other titles
Skills
I'm offering
Many years of operational experience
Markets
United Kingdom
Language
English
Fluently
Ready for
Available
My experience
2019 - 2019
temp
Contract role
Legal and General Investment Management London.
• Cash Management Administrator
• Complete Cash Management tasks daily, ensuring cash processing, funding, overdrafts & claims are managed effectively.
• Team Orientated; ensuring the Team's goals are achieved daily, adhering to strict deadlines and delivering work to the highest standard.
• Manage tasks from beginning to end, investigating and resolving any problems and reporting any inconsistencies as appropriate.
• Review processes to identify potential improvements ensuring a controlled environment and reduction of errors.
• Supports the team with the resolution of day to day operational issues and resolve anomalies to ensure high-level of customer service and accurate transactions.
• End to end understanding of team's tasks and how they relate and impact to all processes, ensuring standard ways of working are applied consistently.
• Work collaboratively with supervisor/team demonstrating flexibility and adaptability, delivering excellent client service and assisting in developing a reputation of operational excellence across the firm.
• Work collaboratively with peers to share best practise, creating an awareness of issues throughout the team/department
• Maintain robust service levels to key stakeholders.
• Flexible approach to aiding where required to the wider Asset Services function and support of the departments processes and relating deliverables
• Complete Cash Management tasks daily, ensuring cash processing, funding, overdrafts & claims are managed effectively.
• Team Orientated; ensuring the Team's goals are achieved daily, adhering to strict deadlines and delivering work to the highest standard.
• Manage tasks from beginning to end, investigating and resolving any problems and reporting any inconsistencies as appropriate.
• Review processes to identify potential improvements ensuring a controlled environment and reduction of errors.
• Supports the team with the resolution of day to day operational issues and resolve anomalies to ensure high-level of customer service and accurate transactions.
• End to end understanding of team's tasks and how they relate and impact to all processes, ensuring standard ways of working are applied consistently.
• Work collaboratively with supervisor/team demonstrating flexibility and adaptability, delivering excellent client service and assisting in developing a reputation of operational excellence across the firm.
• Work collaboratively with peers to share best practise, creating an awareness of issues throughout the team/department
• Maintain robust service levels to key stakeholders.
• Flexible approach to aiding where required to the wider Asset Services function and support of the departments processes and relating deliverables
Customer service, Management, Service, Support, Cash management, Operational Excellence, Administrator, Processing, Processes
2018 - 2019
temp
Contract role
Link Asset Services Beckenham.
Manager Settlements, Processing, Payments and Audit Team
• Responsible for 7 staff.
• Day to day management of the team
• Authorising Chaps Payments -paying participants of SIP scheme's
• Bacs payments and Faster payments
• Treasury Funding
• Staffing and Recruitment
• Setting team goals and Objectives
• Reporting Monthly MI Figures to Senior Management.
• Implement change within my Area to support the Business needs.
• Ensure Team up to-date with current regulatory requirements.
• Investigate daily Queries Log.
• Implementation of Projects and new Initiatives
• Cash and Nostro reconcillations
• Responsible for 7 staff.
• Day to day management of the team
• Authorising Chaps Payments -paying participants of SIP scheme's
• Bacs payments and Faster payments
• Treasury Funding
• Staffing and Recruitment
• Setting team goals and Objectives
• Reporting Monthly MI Figures to Senior Management.
• Implement change within my Area to support the Business needs.
• Ensure Team up to-date with current regulatory requirements.
• Investigate daily Queries Log.
• Implementation of Projects and new Initiatives
• Cash and Nostro reconcillations
Audit, Management, Recruitment, Support, Implementation, Regulatory, SIP, Audit, Processing, Treasury, Manager, UP
2018 - 2018
temp
Contract role-Client services
FNZ UK Ltd London.
Perform reconciliation process for co-funds to unit trust managers
2017 - 2018
job
Senior Associate
DST Brentwood.
- As part of the cash Management Department working within the finance division completing various Cash Management Processes.
• Receipting-Processing of cash receipts and payments for various management companies, applying receipt of funds to outstanding debtors, in a timely and accurate manner.
• Treasury Reporting-Collating figures and compiling a spreadsheet showing a projected balance.
• Trustee/Client Liaison -Agreeing Trustee figures and Client payments daily within agreed timescales.
• Chaps payments -Process all payments due each day ensuring deadlines are met.
• Investigation and Resolution of Enquiries -To the required standards to meet service level agreements (SLAs) and Key Performance indicators (KPIs)
• Receipting-Processing of cash receipts and payments for various management companies, applying receipt of funds to outstanding debtors, in a timely and accurate manner.
• Treasury Reporting-Collating figures and compiling a spreadsheet showing a projected balance.
• Trustee/Client Liaison -Agreeing Trustee figures and Client payments daily within agreed timescales.
• Chaps payments -Process all payments due each day ensuring deadlines are met.
• Investigation and Resolution of Enquiries -To the required standards to meet service level agreements (SLAs) and Key Performance indicators (KPIs)
Management, Finance, Service, Cash management, Processing, Treasury, Processes
2016 - 2017
job
Market Risk Reporting Analyst
Bank of New York Mellon London.
Updating the company's master book of Business records for Cass reporting purposes.
Analyst, Market Risk
2006 - 2015
job
Canada Wealth Mgmt
Royal Bank of Canada.
• Manager Middle Office Investment Operations. Responsible for 3 staff.
• Day to day management of Middle Office /Asset Servicing
And Transition of Client Assets.
• Liaise between front office investment managers and back office/custodian
• Oversight of Third-party Custodian's
• Contact with third party brokers, setting up new broker accounts
• Setting team goals and objectives
• Reporting Monthly MI Figures to Senior Management.
• Implement change within my Area to support the Business needs.
• Ensure Team up to-date with current regulatory requirements.
• Maintain SLA's to all Key stakeholders throughout the Business.
• Work with service providers to ensure support to achieve team goals.
• Implementation of Projects and new Initiatives.
• Corporate actions -- Full knowledge of end to end processing
- Process security corporate events, update clients' portfolio holdings
- Liaise with third parties to instruct and reflect investment decisions on portfolio
holdings.
- Daily reconciliation of dividend entitlements
- Instruct on client proxy voting requirements
- Process dividends and coupons
• Class actions
• Dividends -UK, US, Middle east and European
• Ensuring client's have correct tax status, re QI and in Line with European tax Directive
• Crest settlement /Physical certificates.
• Management and maintenance of custody accounts
• Authorizing client payments
• Client valuations
• Checking that trades are settled in good time
• Ensuring outstanding trades are chased for settlement in a timely fashion
• Authorize client money overdraft report.
• Reviewing policies and procedures, recommending appropriate solutions.
• Profit/Loss reports and investigation into the reason's why.
• Staff recruitment and on-going training.
• Implementation of process change to mitigate operational risk.
• Ensuring and reviewing the booking of new market products.
• Ad Hoc project work when required.
• ISA project.
• Transitions
• Cash and Nostro Reconciliations
• Loan Administration
• Liaising with Cass team, re client money pool
• FX settlements and client payments via swift.
• Money market settlements
• Equity and fixed income settlements
• Cash management
• Trade rebooking and maintenance
• Investigation on unsettled trades to ensure settlement.
• Processing transactions to ensure STP to back office
• Generating reports for front office
• Research and resolve queries from front and back office
• Implement change and controls where required.
• Maintain strong internal and external relationships across all business lines.
• Implementation of cross training and mentoring for junior members of the team.
• Provide support for senior manager and cover when required.
• Client static data updates.
• Pricing and security data updates.
• Opening and closing investment accounts.
• Gold/precious metals
• Money market funds
• Liaison with fund administrators,
• Liaison with third party custodians and trustees
• Money Market settlements
• Trade confirmation
• Trade investigations
• OTC Collateral management
• Dealing with Margin calls
• Liquidity management.
• Emir Reporting
• Unit trust /Fund management
• Redemptions/subscriptions unit trust and investment funds
• Transfer Agency
• Client Tax Reporting
• Day to day management of Middle Office /Asset Servicing
And Transition of Client Assets.
• Liaise between front office investment managers and back office/custodian
• Oversight of Third-party Custodian's
• Contact with third party brokers, setting up new broker accounts
• Setting team goals and objectives
• Reporting Monthly MI Figures to Senior Management.
• Implement change within my Area to support the Business needs.
• Ensure Team up to-date with current regulatory requirements.
• Maintain SLA's to all Key stakeholders throughout the Business.
• Work with service providers to ensure support to achieve team goals.
• Implementation of Projects and new Initiatives.
• Corporate actions -- Full knowledge of end to end processing
- Process security corporate events, update clients' portfolio holdings
- Liaise with third parties to instruct and reflect investment decisions on portfolio
holdings.
- Daily reconciliation of dividend entitlements
- Instruct on client proxy voting requirements
- Process dividends and coupons
• Class actions
• Dividends -UK, US, Middle east and European
• Ensuring client's have correct tax status, re QI and in Line with European tax Directive
• Crest settlement /Physical certificates.
• Management and maintenance of custody accounts
• Authorizing client payments
• Client valuations
• Checking that trades are settled in good time
• Ensuring outstanding trades are chased for settlement in a timely fashion
• Authorize client money overdraft report.
• Reviewing policies and procedures, recommending appropriate solutions.
• Profit/Loss reports and investigation into the reason's why.
• Staff recruitment and on-going training.
• Implementation of process change to mitigate operational risk.
• Ensuring and reviewing the booking of new market products.
• Ad Hoc project work when required.
• ISA project.
• Transitions
• Cash and Nostro Reconciliations
• Loan Administration
• Liaising with Cass team, re client money pool
• FX settlements and client payments via swift.
• Money market settlements
• Equity and fixed income settlements
• Cash management
• Trade rebooking and maintenance
• Investigation on unsettled trades to ensure settlement.
• Processing transactions to ensure STP to back office
• Generating reports for front office
• Research and resolve queries from front and back office
• Implement change and controls where required.
• Maintain strong internal and external relationships across all business lines.
• Implementation of cross training and mentoring for junior members of the team.
• Provide support for senior manager and cover when required.
• Client static data updates.
• Pricing and security data updates.
• Opening and closing investment accounts.
• Gold/precious metals
• Money market funds
• Liaison with fund administrators,
• Liaison with third party custodians and trustees
• Money Market settlements
• Trade confirmation
• Trade investigations
• OTC Collateral management
• Dealing with Margin calls
• Liquidity management.
• Emir Reporting
• Unit trust /Fund management
• Redemptions/subscriptions unit trust and investment funds
• Transfer Agency
• Client Tax Reporting
Security, STP, UP, Manager, Processing, Booking, Office, Regulatory, Cash management, Implementation, Support, Administration, Recruitment, Service, Management, Fashion, Mentoring, Corporate events, Training, Research, Operations, Swift
1998 - 2006
job
Head of Business Support (Middle Office) Assistant Vice President
BSI AG London.
London)
Head of Business Support (Middle Office) Assistant Vice President
Member of the securities and investment Institute (MSI)
Day-to-day management of department, responsible for 3 staff covering European, UK and Us Bonds, Equities, Options, Warrants, Convertibles, FRA'S, Interest rate swaps Ecp's, Certificate of deposits
• Client payments
• Oversight of Third-party Custodian.
• Intermediary between back office and front desk (Treasury and private banking dept)
• Certificate of deposit's settlement
• Investigation into failed trades
• Opening new broker accounts
• Staff recruitment and monitoring, appraisals, on - going training
• Profit/Loss reports and investigation into the reason's why.
• Client Corporate Actions
• In the absence of Manager looking after risk/Portfolio management of Three Institutional clients.
• Loans Administration
Settlements Manager
Day-to-day management of department, responsible for 3 staff covering European, UK and US Bonds, Equities, Options, Warrants, Convertibles, encompassing:
• Settlements
• Trade Input
• Funding
• Investigation of failed trades and settlements problems/queries
• FX and Money Market transactions
• Certificates of Deposit
• Corporate Actions
• Investigation into and resolution of problems relating to tax on dividends
• currency payments
• Liaison with third party custodians, fund administrators and Trustees
• Staff recruitment, monitoring, appraisals and on-going training
• Loans Administration.
Mar 97 - Jan 98 TEMPORARY ASSIGNMENTS
Head of Business Support (Middle Office) Assistant Vice President
Member of the securities and investment Institute (MSI)
Day-to-day management of department, responsible for 3 staff covering European, UK and Us Bonds, Equities, Options, Warrants, Convertibles, FRA'S, Interest rate swaps Ecp's, Certificate of deposits
• Client payments
• Oversight of Third-party Custodian.
• Intermediary between back office and front desk (Treasury and private banking dept)
• Certificate of deposit's settlement
• Investigation into failed trades
• Opening new broker accounts
• Staff recruitment and monitoring, appraisals, on - going training
• Profit/Loss reports and investigation into the reason's why.
• Client Corporate Actions
• In the absence of Manager looking after risk/Portfolio management of Three Institutional clients.
• Loans Administration
Settlements Manager
Day-to-day management of department, responsible for 3 staff covering European, UK and US Bonds, Equities, Options, Warrants, Convertibles, encompassing:
• Settlements
• Trade Input
• Funding
• Investigation of failed trades and settlements problems/queries
• FX and Money Market transactions
• Certificates of Deposit
• Corporate Actions
• Investigation into and resolution of problems relating to tax on dividends
• currency payments
• Liaison with third party custodians, fund administrators and Trustees
• Staff recruitment, monitoring, appraisals and on-going training
• Loans Administration.
Mar 97 - Jan 98 TEMPORARY ASSIGNMENTS
Administration, Training, Management, Recruitment, Banking, Support, Monitoring, Office, Treasury, Manager, President
1997 - 1997
job
Settlements Administrator
LAZARD CAPITAL MARKETS.
• Middle East equity settlements (Egypt and Jordan) and US settlements
• French new issues
• reconciliation of Nostro accounts
• French new issues
• reconciliation of Nostro accounts
Administrator
1988 - 1997
job
Settlements Manager
ORD MINNETT LTD.
Day-to-day involvement with Australian, New Zealand, USA Equity Settlements and UK/Euroclear Settlements, including the management of 2 staff involved in:
• liaison with clients regarding the reporting of trades and related queries
• payment of FX deals
• daily updating of client database information on Paradox system prior to the implementation of an MS Access package
• daily reporting of trade bookings to Sydney and Wellington offices
Additional involvement:
• In 1992 I spent a week at the company's Sydney based Head Office to familiarise myself with their operations
• Responsible, in the absence of the Company Secretary, for the payment of petty cash and invoices
• liaison with clients regarding the reporting of trades and related queries
• payment of FX deals
• daily updating of client database information on Paradox system prior to the implementation of an MS Access package
• daily reporting of trade bookings to Sydney and Wellington offices
Additional involvement:
• In 1992 I spent a week at the company's Sydney based Head Office to familiarise myself with their operations
• Responsible, in the absence of the Company Secretary, for the payment of petty cash and invoices
Operations, Database, Management, Access, Implementation, Office, USA, Manager
My education
University of Manchester Institute of Science and Technology UMIST
Financial Services, N/a
Financial Services, N/a
n/a
Associates, Business Studies
Associates, Business Studies
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