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Securities Operations Associate - 3DK2H in Buffalo, NY at M&T Bank

Date Posted: 8/9/2018

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    Buffalo, NY
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    8/9/2018
  • Job ID:
    3DK2H

Job Description

Securities Operations Associate
Buffalo, NY
Job Functional Knowledge:  Good knowledge of procedures and concepts within own discipline
Business Expertise:  Good knowledge of how the team integrates within the unit
Leadership:  No supervisory responsibilities
Problem-Solving:  Uses judgment based on practice and precedence
Nature of Impact:  Through shared responsibility for volume, quality, timeliness of end results
Scope:  Primarily on a department
Interactions:  Information exchange requiring tact and diplomacy
Function:  Provides customer service to M&T Securities Financial Consultants and external customers by processing requests and troubleshooting issues that may arise. 
Position Responsibilities:  FINRA licensed authority to perform covered activities related to but not limited to client onboarding, account maintenance, reinvestments and disbursement of funds, receipt and delivery of securities and general ledger entries.
Confirm and process account and trade documents for appropriateness and completeness including but not limited to, new account documentation, account maintenance requests, trade support documents, trade related requests and money movement.  Individual is responsible to follow through to with advisors until in good order.
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.
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. 
Individual will also be required to prepare daily, weekly and monthly reports.
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. 
Standard Company Responsibilities:  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.
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.
Additional Information:  Provide mentoring and guidance to less experienced personnel.
Minimum Qualifications Required:  Associates Degree or in lieu of degree two years' combination of higher education and work experience
Ability to obtain FINRA Series 99 within 3 months
Minimum of 2 years work experience 
Speed, accuracy and the ability to prioritize are essential.
Time management skills
Preferred Qualifications:  FINRA Series 99
Ability to be a team player
Associates Degree
Financial Industry experience
Individual should be able to work well with all levels of management and escalate issues when needed.

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.