CORPORATE ACTIONS SPECIALIST RESUME EXAMPLE
Published: August 19, 2024 - The Corporate Actions Specialist processes fixed income activities such as maturities, coupon payments, and pay downs, ensuring accuracy and compliance. Coordinates and tracks voluntary and mandatory corporate actions, including mergers and dividend reinvestments, from election at custodian to final reconciliation. Provides exceptional client support, managing inquiries through phone and email, and diligently follows operating procedures to meet audit standards.
Tips for Corporate Actions Specialist Skills and Responsibilities on a Resume
1. Corporate Actions Specialist, Horizon Financial Services, Tampa, FL
Job Summary:
- Monitor internal and external platforms for current and upcoming Corporate Actions (CA) on domestic and international markets for securities held by clients
- Create compliant and accurate CA Notification templates in Xplan, with consultation from the relevant SMEs in Advice Product, Legal and Compliance
- Manage the communication of all eligible client CA notifications to clients via email templates
- Ongoing management and archiving of CA templates in Xplan
- Assist in developing a more streamlined CA solution via the Wrap platform
- Preparing and attending/hosting presentations
- Collating relevant approvals and speaking to stakeholders
- Preparing deal collateral and other steps in the CM process
- Keep up to date with market changes and developments that impact the team.
- Maintain technical understanding of platform functionality and operation, end to end view of the process and platform for the team.
- Drive forward ideas from the team to improve the existing operating process and periodically review procedures to ensure completeness.
- Daily Reconciliations (Cash Holding, Transactions and Assets)
Skills on Resume:
- Market Monitoring (Hard Skills)
- Template Creation (Hard Skills)
- Client Communication Management (Hard Skills)
- Template Management (Hard Skills)
- Process Streamlining (Hard Skills)
- Presentation Skills (Soft Skills)
- Stakeholder Engagement (Soft Skills)
- Process Improvement (Soft Skills)
2. Corporate Actions Specialist, Beacon Trust Corporation, Denver, CO
Job Summary:
- Monitor incoming notifications from custodians and vendors, determine the appropriate course of action based on those notifications
- Maintain corporate action tracking system.
- Ensure all relevant internal parties are fully informed about each corporate action.
- Research complex events using both internal and external sources
- Coordinate with fund accounting team to appropriately record corporate actions on a timely basis.
- Support portfolio managers and analysts in decision making process
- Communicate and verify voluntary elections with custodians
- Process events to accounting system and solve reconciliation items
- Identify workflow/system improvements and work with technology and operations teams to enact change
- Maintain strong working relationships with Third Party Custodians, External Fund Managers and internal teams to identify and process all relevant Corporate Actions.
- Interact with key clients on a weekly basis and actively work to reduce the number of outstanding queries and issues.
- Support manager in reviewing work and production of MI to demonstrate effectiveness of controls within team.
Skills on Resume:
- Notification Monitoring (Hard Skills)
- System Maintenance (Hard Skills)
- Stakeholder Communication (Soft Skills)
- Event Research (Hard Skills)
- Fund Accounting Coordination (Hard Skills)
- Decision Support (Soft Skills)
- Process Improvement (Hard Skills)
- Relationship Management (Soft Skills)
3. Senior Corporate Actions Specialist, River Bank & Trust, Charlotte, NC
Job Summary:
- Resolve all discrepancies, ensure take action on everyday matters as well as inquiries from all external clients plus internal departments.
- Processing and monitoring of daily corporate actions (different types)
- Regular follow-up and information update with custodians
- Booking of the proceeds and the resolutions of the breaks
- Support with varied related duties as needed for ad hoc reports or projects.
- Good cooperation with other banking operations teams internally
- Maintenance of the securities file (openings, transfers and control of valuation prices)
- Monitor Corporate Action events & announcements
- Manage the processing of Corporate Actions (Listed Securities & International Securities)
Skills on Resume:
- Discrepancy Resolution (Hard Skills)
- Corporate Actions Processing (Hard Skills)
- Custodian Coordination (Hard Skills)
- Financial Recording (Hard Skills)
- Project Support (Soft Skills)
- Team Collaboration (Soft Skills)
- Securities Maintenance (Hard Skills)
- Event Monitoring (Hard Skills)
4. Corporate Actions Specialist, Summit Financial Group, Salt Lake City, UT
Job Summary:
- Post projected dividends and reconcile between system and custodian
- Process fixed income activity including maturities, coupon payments, and pay downs
- Track voluntary corporate actions, research terms, coordinate client responses, elect custodian, and process the events
- Reconcile the corporate actions activity between operations system and custodians
- Research and resolve discrepancies in activity between system and custodians
- Administrator premier and proactive client support and inquiry management
- Process mandatory corporate actions including mergers, spin-offs, rights offerings, stock splits, dividend reinvestments, municipal bond refundings, convertible bonds, calls, and exchanges
- Review event details from tax provider to ensure processing is in compliance with taxability
- Provide client support via phone and email for corporate actions inquiries
- Process cash movement to facilitate corporate action activity
- Follow Operating procedures in accordance with audit requirements
Skills on Resume:
- Dividend Reconciliation (Hard Skills)
- Fixed Income Processing (Hard Skills)
- Corporate Actions Coordination (Hard Skills)
- Activity Reconciliation (Hard Skills)
- Discrepancy Resolution (Hard Skills)
- Client Support and Inquiry Management (Soft Skills)
- Tax Compliance (Hard Skills)
- Procedure Adherence (Hard Skills)
5. Corporate Actions Specialist, Peak Wealth Management, Phoenix, AZ
Job Summary:
- Processing routine and complex transactions related to specific asset service functions.
- Conducting, reviewing, analyzing, resolving and escalating the results of any manual or automated regulatory/compliance related screening conducted by the department.
- Undertaking training of more junior team members
- Responsible for supporting the department adherence to AML/BSA policies and procedures set forth by various regulatory bodies.
- Maintaining an unrelenting focus on meeting the needs/requests of clients, including responding to client inquiries timely and accurately (in line with departmental benchmarks/metrics), and in resolving, and/or escalating problems promptly.
- Aligning risk and control processes into day to day responsibilities to monitor and mitigate risk, escalates appropriately
- Compliance monitoring on MDA services and bulk transaction processing
Skills on Resume:
- Transaction Processing (Hard Skills)
- Regulatory Compliance Analysis (Hard Skills)
- Training and Development (Soft Skills)
- AML/BSA Adherence (Hard Skills)
- Client Service (Soft Skills)
- Risk Management (Hard Skills)
- Problem Resolution (Soft Skills)
- Compliance Monitoring (Hard Skills)