Custody Operations Resume Sample

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Emilie Hermiston
321 Bednar Lock,  Los Angeles, CA
+1 (555) 370 7882

Work Experience

Custody Operations Specialist
05/2016 - PRESENT
Dallas, TX
  • Effectively communicate with UHNW clients, CPB Private Bankers, Custody Team Leaders and their respective representatives
  • Manage Custody Service Team and ensure the staff is delivering a high level of service and complying with Citibank's policies, procedures and government regulations
  • Responsible for ensuring that all daily transactional activities are completed and escalate issues when necessary
  • Approve Fed Wires, Internal funds transfers and other Cash movements within set timeliness standards and daily cutoff times
  • Manage End of Day Settlement / Proof process and approve related transactions as needed
  • Manage internal accounts and daily reconciliations
  • Ensure all securities transactions including RVP / DVP, free receipts and deliveries, global (Non-USD) trades and all other securities related transactions including mutual funds and foreign exchange are processed to established service standards
  • Generate monthly Stale Pricing report and distribute to Custody Service Officers for follow up and pricing updates
  • Participate on monthly Pricing Committee conference calls with Business Risk college to address potential pricing issues
AVP Custody Operations Liaison
09/2011 - 04/2016
New York, NY
  • Strong problem solving skills – specifically the ability to research/resolve account officer and client inquiries, and interface with Custody Team Relationship team leaders and Securities Operations on a daily basis
  • Direct contact with clients and their attorneys, accountants, third party vendors, representatives, etc
  • To ensure that information relating to Corporate Action announcement is captured accurately complete and timely in the Custody System
  • To ensure that for all corporate actions events and especially those related to voluntary / with options are processed in a timely, complete and accurately manner and released to clients / depository respectively within agreed SLA and before market deadlines
  • To ensure monitoring for receipt of Corporate Action entitlements and where required pro-actively follow-up with the companies to ensure receipt of client entitlements on or before due date
  • To ensure agendas / annual reports are received and dispatched to clients on a timely basis, and proxy instructions are executed as per client requirement
  • Develop and maintain strong working relationships between the Custody Operations department and Kaspick’s client account teams
MYS Ctsm Kl-custody Operations
05/2009 - 06/2011
Phoenix, AZ
  • Work proactively with the respective operations team to investigate and resolve exceptions or clients’ queries
  • Responsible for ensuring the timeliness and completeness of the team’s daily, weekly, monthly processes and deliverables
  • To ensure that for all corporate actions events and especially those related to voluntary/with options are processed in a timely, complete and accurately manner and released to clients/depository respectively within agreed SLA and before market deadlines
  • To ensure agendas/annual reports are received and dispatched to clients on a timely basis, and proxy instructions are executed as per client requirement
  • Perform detailed reviews of operations processes and related risks and controls including event reviews, thematic analysis and ‘deep dive’ causal analysis
  • Ensure issues are appropriately escalated and highlighted for inclusion in governance reporting such as Monthly Operating Reviews and Business Risk and Control Committees
  • Undertake ‘Near Miss’ (Potential Loss Event) and (Actual) Loss investigation, including process reviews as required where an Operations Unit That Caused an Error / Unit Responsible for Control is involved


University of the South - Sewanee
2004 - 2009
Bachelor's Degree in Business

Professional Skills

  • Strong organizational skills – ability to prioritize tasks and effective performance under pressure
  • Able to effectively work in a team environment and possesses collaborative decision making skills
  • Maintains excellent verbal and written communication skills internally and with outside parties
  • Operate effectively and independently in a dynamic environment with tight deadlines, and can prioritize one’s own work to achieve them
  • Possess very good interaction skills and is highly articulate
  • Self-motivated individuals with great communication skills, aspiring to become senior leaders
  • Self-motivated individuals with great communication skills, aspiring to become capital market experts

How to write Custody Operations Resume

Custody Operations role is responsible for securities, training, finance, credit, compensation, reporting, insurance, travel, events, government.
To write great resume for custody operations job, your resume must include:

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

Contact Information For Custody Operations Resume

The section contact information is important in your custody operations 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 Custody Operations Resume

The section work experience is an essential part of your custody operations 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 custody operations responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular custody operations position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Custody Operations resume experience can include:

  • Working experience as an operations expert or process supervisor, track record in custody, treasury or fund administration business
  • Experience of setting up, maintaining service level agreements and key performance indicators
  • Experience of reviewing investment supplier governance reporting
  • Previous experience in banking operations with understanding of financial products as an asset
  • Good team player that are comfortable speaking and writing in English
  • Good team players that are comfortable speaking and writing in English

Education on a Custody Operations Resume

Make sure to make education a priority on your custody operations resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your custody operations 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 Custody Operations Resume

When listing skills on your custody operations 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 custody operations skills:

  • Strong ability in effective planning and managing operations and people
  • O Min. 1-2 years of experience in financial operations. Income and Corporate Action past experience a benefit
  • Self-motivated individual with great communication skills
  • Self-motivated individuals with great communication skills
  • Possessing some working experience
  • Working experience as a team manager, track record within shared service center industry would be an additional advantage

List of Typical Experience For a Custody Operations Resume


Experience For Custody Operations Specialist Resume

  • Perform a ‘gatekeeper’ function at the boundary of the 1st Line of Defense, i.e. minimize the need for Operations line engagement with the 2nd and 3rd lines of defense
  • Maintaining close business relations with internal and external partners and clients throughout a deep engagement in current tasks and business projects
  • Ensuring a high quality of service provided to clients
  • Support other investment team’s as required such as assisting with oversight of custody bank foreign withholding tax claims monitoring
  • Work hand in hand with each business area’s experts and managers to develop new or enhance existing business processes
  • Global exposure – Citi’s expansive business means global opportunities and global mobility; with some of our graduates choosing to go on an overseas secondment
  • Work in an international and diverse environment - use and develop your English language skills on a daily basis. At Citi, we recognise diversity as one of our competitive advantages. We respect the broad range of views, cultures and background and encourage our employees to participate in a number of councils and societies

Experience For Client Assets Custody Operations Lead Resume

  • Act as a Subject Matter Expert for Envestnet’s operational interactions with major custodians
  • Understand and stay abreast of each major Envestnet custodian’s website, client portal and materials related to operations
  • Develop method to collect data related to each major custodian’s level of service provided to Envestnet and distribute as required
  • Manage end to end service delivery of various functions within Global Custody Business; closely monitoring and reporting KPIs to all stakeholders and achieving operational and financial targets or division’s services
  • Selects, trains, develops and leads an efficient and effective processing team.

Experience For Custody Operations Manager Resume

  • Work proactively with the respective operations teams to investigate and resolve exceptions or internal/external clients’ queries
  • Manage the custody relationship with Northern Trust and State Street Bank
  • Oversee receipt of custody bank monthly key performance indicators report and custody fee invoices and review and query as appropriate any anomalies and manage through to resolution as required
  • Provide support as required for project related activities as required as directed by the Head of Investment Operations
  • Manage custody fees on transition accounts and instigate agreed rebates
  • Manage Instruct payments for tax agent fees for tax reclaim services
  • Provide main liaison for all daily queries or issues associated with custody bank operations oversight

Experience For AVP Custody Operations Liaison Resume

  • Managed project related activities such as completion of Custody and/or fund transitions, Custody account opening or closing, maintaining bank account details in line with bank records, issuing authorised bank instructions when required
  • Key contact for the department and the external discretionary and custody relationships re general investment operational or administration queries or potential issues and escalate as appropriate to the Head of Investment Operations when issues are identified
  • Financial services experience – both Life and Pension products
  • Maintain up to date fund account lists and authorised signatories
  • Attend and represent ZAL Investment Operations at Custody oversight governance meetings for Northern Trust and State Street Bank
  • Work to strict deadlines such as custodian bank intraday instruction deadlines

Experience For Direct Clearing & Custody Operations Manager Resume

  • Knowledge of fund & asset management, including front office / back office, investment accounting and administration operations, investment types (wrapped funds, discretionary managed funds), investment management (e.g. Style Analysis) and roles & responsibilities (e.g. Custodian)
  • Investment qualification, such as IAQ or CFA would be beneficial
  • Finance qualification, such as CIMA could be useful but not essential
  • Representation of Proxy team on regular/ad-hoc conference calls
  • Possibility to work on either day or afternoon shifts, availability of remote work
  • Access to unlimited number of trainings
  • Participate in Team/ Department Projects

Experience For MYS Ctsm Kl-VP-securities Services Global Custody Operations Resume

  • Self-starter and ability to work in a team
  • Proactive approach and self-reliance
  • Co-operation with other capital market players
  • Use English on a daily basis
  • Focus on client delivery and value additions
  • Constant development opportunities
  • SWIFT knowledge is an asset
  • Support Team Leader with occasional backup

List of Typical Skills For a Custody Operations Resume


Skills For Custody Operations Specialist Resume

  • Flexible and able to adjust to changing priorities
  • Experience in tax processing and securities
  • Experience in tax processing, securities
  • Good understanding of Global Equity and Fixed Income markets, across voluntary and mandatory events
  • Good understanding of capital markets, securities and financial services operations
  • Eager to gain experience and knowledge in capital markets, investment banking, finance
  • Experienced with dealing with key external relationship managers
  • Good understanding of custodian bank and fund manager investment operations

Skills For Client Assets Custody Operations Lead Resume

  • Experience of issuing authorised bank instructions
  • Experience of overseeing service standard breach log
  • Demonstrates professionalism and diplomacy and can work with a variety of personalities
  • Experience in the financial services industry required
  • Think strategically and prioritize long term goals over tactical individual tasks
  • Good team players able to work efficiently under time pressure and to motivate others
  • Professional with experience in finance or graduate who wants to start their career in the field of capital markets
  • Professionals with experience in finance

Skills For Custody Operations Manager Resume

  • MS Office literate (good knowledge of Excel required)
  • Coordinate, challenge and validate the Operations Manager Control Assessment (MCA) results
  • Strong time management and punctuality
  • Professionals with experience in finance or graduates that want to start their career in the field of capital markets
  • Access to in depth knowledge of how Capital Markets operate
  • Incoming instruction processing and preparation of instructions to the market
  • Reconciling and solving discrepancies between Custody and other entities
  • Monitoring of instructions and queries incoming from clients and other vendors

Skills For AVP Custody Operations Liaison Resume

  • Supporting employees in various problem solving to enable smooth business continuity
  • Understanding types of financial instruments
  • Adhering to all relevant Procedures and Controls
  • Supporting of positive and professional work environment
  • Completing of all necessary trainings within the time limit

Skills For Direct Clearing & Custody Operations Manager Resume

  • Performing of other business tasks assigned by the supervisor
  • Working as part of a team of professionals with vast knowledge of the financial environment
  • Regular monitoring and updating of all Manuals, Procedures and Controls relevant to Proxy Voting Team
  • Come with ideas for new projects and actively engaging in improvement of current Proxy processes and taking lead
  • Exceptional understanding of the securities industry and the Envestnet platform
  • Higher education (finance, economy, banking or similar)

Skills For MYS Ctsm Kl-VP-securities Services Global Custody Operations Resume

  • Dynamic and challenging job
  • A wide selection of industry related training
  • Opportunities to travel to different countries for projects and training
  • A chance to develop own career across a number of diverse, growing functions, both locally and abroad
  • Well-organized and detail-oriented person who likes working against tight deadlines
  • Well-organized and detail-oriented people that like working against tight deadlines
  • Support colleagues and peers during peak volume periods and/or other absence

Skills For Custody Operations Expert Resume

  • International working environment at the office
  • Sponsorship of globally recognized certificates in financial industry (Institute of Banking, Chartered Institute for Securities & Investment)
  • A chance to develop your own career across a number of diverse, growing functions (both locally and abroad)
  • Focused on details when performing the tasks and ability to handle risk processes
  • Access to a dynamic variety of training material & courses across multiple delivery platforms
  • Broad trainings offering

Skills For Preferred Custody Operations Manager Resume

  • A number of other financial and non-financial benefits (Medicover, MultiSport, private pension plan, life insurance etc.)
  • Great atmosphere in our offices
  • Communicate with others in a concise, productive and professional manner
  • Is proficient with Microsoft Excel, Word, Access and PowerPoint
  • Process income and corporate action related events for a select portfolio of Citi clients – as a checker and, if needs be, as a process supervisor
  • Initiate and lead regional projects and initiatives
  • Process income and corporate action related events for a select portfolio of Citi clients

Skills For Custody Operations Associate Resume

  • Be involved in regional projects and initiatives
  • Willingness to work on Malaysia public holidays if required
  • Team -oriented and ability to work under pressure
  • Finally, we need people who thrive in a team environment, working together to achieve our goals. A passion for financial markets is essential for our graduate roles
  • Great team players able to work efficiently under time pressure, to motivate others and to work towards common goal of the department

Skills For Head of Custody Operations Resume

  • Competitive salary with attractive benefit package
  • Friendly, dynamic and multinational environment
  • Opportunity to use English on a daily basis
  • Compensation with attractive benefit package
  • Proactive and assertive approach and ownership of issues solutions
  • Work in face paced environment under tight deadlines

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