Associate, Securities Resume Sample

21 votes

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Marcelina Ferry
741 Spencer Knoll,  Dallas, TX
+1 (555) 240 4930

Work Experience

Derivatives & Securities Financing Associate
02/2016 - PRESENT
Phoenix, AZ
  • Responsible for ensuring the timeliness and completeness of the team’s daily, weekly, monthly processes and deliverables
  • Oversee the system’s reinvestment of all dividends
  • Process proxy material via vendor with daily updates to electronic delivery program
  • Locating hard to borrow securities with the firm’s prime brokers
  • Maintain and utilize securities lending relationships with the firm’s prime brokers
  • Work with internal Tax group to understand firm’s tax risk and exposure
  • Work with internal Compliance group to make sure firm is complaint with regard to firm’s short selling activity at all times
Securities Lending Associate
10/2010 - 10/2015
Boston, MA
  • Act as a subject matter expert with regards to securities lending accounting and billing to work jointly with the Securities Lending and Finance team to drive revenue opportunity and maintain the business’ competitive advantage
  • A consistent top performer with a ‘can do’ attitude, embraces the team’s established performance culture
  • Advising other internal departments on the legal implications of proposed deviations from the Bank’s templates
  • Managing internal and external clients’ expectations at all times especially with regard to the Bank policy and key operating procedures
  • Completing closing form upon the execution of the agreement and giving instructions to the administrative support team in order to update the Bank’s record and Information Technology (IT) systems
  • Research and interpret regulatory, industry and corporate developments affecting department responsibilities: collect and compare information from internal and external sources to evaluate possible impact of changes; summarize findings and recommend creation of, or revisions to, department references, records, procedures, work flow, database utilization or reporting
  • Regularly resolve routine questions from others including, other business units, issuers, local counsels and regulators concerning substantial shareholder disclosure filings
Securities Financing Associate
09/2005 - 09/2010
Phoenix, AZ
  • Provide expert advice and technical guidance on, complex foreign market regulations; evaluate available information, determine whether facts are missing or unclear, conduct or request additional research as necessary, identify pertinent details and analyze them relative to applicable regulations and corporate policy
  • Provide technical and subject matter guidance to others
  • Serve as the primary point of contact to Bank Resource Management (BRM), Borrowers and Lenders (clients) of BRM. This includes working with other key stakeholders within the firm who also have contact with the clients and acting as a point of escalation for any issues
  • Mitigate exposure risk through effective exposure management processes and controls – through working in partnership with key stakeholders including Credit and Counterparty Risk
  • Perform the Trade and Fails Management functions – including trade pre-matching, matching and trade management to assist clients in managing inventory effectively – and BRM with managing costs and utilised assets
  • Perform daily cash and stock reconciliation ensuring Morgan Stanley’s books and records match external positions
  • Performing timely deal amendments across key coverage markets
  • Liaising with Global Stock Loan teams for pass the book activities and providing out of hour amendment coverage for the North American and Far East markets
  • Settlement support for Securities lending transactions across all EMEA markets


Morrison University - Reno Campus
1999 - 2004
Bachelor's Degree in Management

Professional Skills

  • Proven ability to work in a fast paced environment and prioritize competing responsibilities
  • Finance: understanding of market dynamics and conventions, and of different products’ behaviours and specifications
  • Works with regular supervision
  • Resolves routine matters consistent with regulatory requirements and corporate guidelines and policies
  • Plans, schedules and arranges own activities to efficiently accomplish objectives of multiple assignments within required timelines, resolving routine conflicts as necessary to accomplish goals
  • Work with only broad procedural guidelines or general direction; able to prioritize, initiate and complete complex assignments to meet multiple regulatory or corporate deadlines; able to remain flexible and work under pressure and to seek appropriate guidance as needed
  • Productively use industry standard legal and business software applications and research tools (eg: OneTIS, GlobalMax, Business Objects, Bloomberg, Windows Office and Outlook; Internet, and other FTI applications)

How to write Associate, Securities Resume

Associate, Securities role is responsible for travel, software, credit, securities, training, database, security, reporting, design, research.
To write great resume for associate, securities job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Associate, Securities Resume

The section contact information is important in your associate, securities resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Associate, Securities Resume

The section work experience is an essential part of your associate, securities resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous associate, securities responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular associate, securities position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Associate, Securities resume experience can include:

  • Mitigate exposure risk through effective exposure management processes and controls through working in partnership with key stakeholders including Credit and Counterparty Risk
  • Perform the Trade and Fails Management functions including trade pre-matching, matching and trade management to assist clients in managing inventory effectively and BRM with managing costs and utilised assets
  • Current understanding of industry regulations, concepts, terminology, and processes applicable to department’s responsibilities; working knowledge of other areas of law supported by Legal helpful
  • Demonstrated ability to work with others, to assist and support others. Demonstrated ability to work independently
  • Assess risk and exposure issues
  • Support the development and implementation of planning model valuation assumptions through review and testing of model design for different investment categories

Education on an Associate, Securities Resume

Make sure to make education a priority on your associate, securities resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your associate, securities experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Associate, Securities Resume

When listing skills on your associate, securities resume, remember always to be honest about your level of ability. Include the Skills section after experience. Present the most important skills in your resume, there's a list of typical associate, securities skills:

  • A good approach to change management on account of the team’s continual growth and development
  • Support ongoing and evolving valuation process monitoring and reporting efforts of the broader team
  • Develop and maintain proficiency in valuation model design and application in forecasting model software
  • Review and understand investment valuation methodologies, pricing models, and systems across different asset types and currencies
  • Support other team members on independent valuations for a range of complex assets including structured instruments, derivatives and private equity
  • A desire to go ‘above and beyond’ daily responsibilities – seek to problem solve

List of Typical Skills For an Associate, Securities Resume


Skills For Derivatives & Securities Financing Associate Resume

  • A desire to go above and beyond daily responsibilities
  • Seek to problem solve
  • To cover strategically traded short-positions
  • To cover deliveries which arise as a consequence of failed settlement

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