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M&T Securities Operations Specialist III - 3DJ35 in Buffalo, NY at M&T Bank

Date Posted: 6/27/2018

Job Snapshot

  • Employee Type:
  • Location:
    Buffalo, NY
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
  • Job ID:

Job Description

M&T Securities Operations Specialist lll

Buffalo, NY



Review and process various functions within M&T Securities Operations. Complete additional functions assigned by management, such as participation in department projects, initiatives, and problem resolution. Review and update procedures on a regular basis and document new procedures and training plans as necessary. All processes are to be performed accurately and in accordance with established procedures.
Understand and adhere to the Company’s risk and regulatory standards, policies and controls in accordance with the Company’s Risk Appetite. Identify risk-related issues needing escalation to management.
Review documentation presented by customers to ensure that the paperwork is in good order. Upon approval of the documents transactions will be required to be accurately entered into the Pershing NetX 360 system. Review and process workflow items. Resolve any issues within department service level expectations. Proactively identify any inaccuracies and follow up with the Financial Consultant or Advisor Support Center to resolve discrepancies in a timely fashion and according to department service level expectations. Individual will be required to review procedures and processes minimally on a quarterly basis and make necessary updates to the procedure and escalate issues to management. Continually interact with other team members within Operations as well as internal and external business partners to ensure timely, accurate completion of various tasks and issues.
Understand and adhere to the Company’s risk and regulatory standards, policies and controls in accordance with the Company’s Risk Appetite. Design, implement, maintain and enhance internal controls to mitigate risk on an ongoing basis. Identify risk-related issues needing escalation to management.
Promote an environment that supports diversity and reflects the M&T Bank brand.
Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
Complete other related duties as assigned.
Associate’s degree or currently pursuing Bachelor’s degree required. General knowledge of personal computers and related office equipment required. Possess excellent written and oral communication. Individual must be able to interpret procedures and apply to the process. Individual must exhibit great organizational skills and be able to make decisions based off of knowledge and written procedures. Strong teamwork standards and excellent interpersonal skills required. Individual must be able to interact professionally with all levels of staff and management and must be able to maintain composure under stressful demands. Speed, accuracy and the ability to prioritize are essential. Must be able to multi-task with a strong attention to detail. General understanding of basic accounting as it relates to debits and credits.
Must have excellent PC and problem solving skills. Ability to use Microsoft Office, including Word, Excel, Power Point, SharePoint and Outlook.

Ability to obtain the FINRA Series 99 within 120 days 
Ability to be a team player
Ability to interact with all levels of personnel
Ability to function professionally at many different levels
Self-motivated, well-organized individual
Ability to work individually as well as a member of a team
General knowledge of M&T Securities compliance and regulatory information and M&T Securities product knowledge.
FINRA licensing, including Series 6, 7 and/or 99.
About M&T
At M&T, we strive to be the best place our employees ever work, the best bank our customers ever
do business with and the best investment our shareholders ever make. So when looking to advance
your career, look to M&T. As a top 20 US bank holding company and one of the best performing
regional banks in the country, we offer a wide range of performance based career development
opportunities for talented professionals. And through our longstanding tradition of
careful,conservative and consistent management and a strong commitment to the communities we
serve, we continue to grow with a focus on the future.M&T Bank Corporation is an Equal Opportunity/Affirmative Action Employer.
M&T Bank Corporation does not sponsor individuals for the purpose of obtaining H-1 Visas.
M&T Bank Corporation has policies and procedures in place to promote a drug free workplace.