Deadline to apply: 4/15/2024.
Core Production Responsibilities:
- Prepares varying levels of complex activity (end to end), often requiring manual intervention, and broad upstream and downstream consideration of impacts such as trading, valuation, NAV, and financial reporting. Overall STP processing rate is low, creating high levels of risk/exposure in processing environment.
- With guidance, when necessary, analyzes impact of corporate action events, reaching out to impacted parties as needed.
- With respect to The Capital System, monitors assigned standard events to ensure instructions are provided to appropriate parties prior to deadline.
- Communicates with Investment Group to provide investment options and request recommendations.
- Executes invest decision, sending instructions on corporate actions, and if needed, with assistance works with other business units to verify compliance with guidelines, regulatory rules, tax consequences and other restrictions.
- Works with necessary teams on the processing of corporate action events that require order entry, eligibility criteria, and Action List rating activity.
- Answers standard inquiries from business partners including Investment Group and Trading with guidance from experienced associates.
- Performs self-review of work and peer review of some periodic/production work.
- Identifies and assesses business risk (i.e., applicability of regulatory requirements by investment type) and determines impacts within the company and to the clients; recommends solutions and collaborates with more senior associates on implementation.
- Demonstrates initiative by identifying and communicating issues to reviewers/managers/others.
- Models' skills and technical knowledge and provides training to new associates.
- Provides technical training to new associates.
- Performs small group training to build the team's foundation of knowledge.
- May act as a resource and provide guidance to newer associates.
- Provides operational and technical guidance on internal controls to other departments.
- Identifies process improvements.
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- Leverages resources to gather facts, identify and escalate issues, and identify possible solutions. Discusses recommendations with manager and implements best practice and/or process improvements.
Knowledge and Expertise:
- Demonstrates working knowledge of securities and investment operations, including characteristics of various investment instruments and market practices, Capital's investment process as well as impacts to the Capital System, and the ability to apply them to work assignments.
- Demonstrates working knowledge of Excel, Microsoft and other business applications and the ability to apply them to work assignments.
- Demonstrates working knowledge of functional team policies, practices and controls, and ability to apply to work assignments.
- Demonstrates working knowledge of accounting, including business operations, financial reporting and generally accepted accounting principles, and ability to apply it to work assignments.
Ad hoc or Project Responsibilities: Develops credibility and strong working relationships by partnering and collaborating with other associates, teams, and internal and external stakeholders to develop recommendations for cross functional solutions and enable the launch of new products and services.
- Projects and Initiatives
- Participates in small to moderately sized projects.
- Participates in and drives continuous improvement initiatives within the team to achieve straight through processing, improve efficiency and effectiveness.
- Escalates operational issues and technical questions timely.
Competencies:
- Communicates Effectively - Develops and delivers multi-mode communications that convey a clear understanding of the unique needs of different audiences. Demonstrates effective written and oral communication skills with external teams, such as the Investment Group which may require judgement regarding level of detail required.
- Collaborates - Builds partnerships and works collaboratively with others to meet shared objectives.
- Demonstrates Self-Awareness - Uses a combination of feedback and reflection to gain productive insight into personal strengths and weaknesses.
- Nimble Learning - Actively learns through experimentation when tackling new problems, uses both successes and failures as learning fodder.
Orange County Base Salary Range: $71,425-$114,280
In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital's annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.
You can learn more about our compensation and benefits here.
* Temporary positions in Canada and the United States are excluded from the above mentioned compensation and benefit plans.
We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.