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Securities Operations Specialist IV - Asset Movement - 3DHN2 in Buffalo, NY at M&T Bank

Date Posted: 4/6/2018

Job Snapshot

Job Description

Securities Operations Specialist lV Asset Movement Buffalo, NY

BASIC FUNCTION: Review and process various complex transaction and trade related functions within M&T Securities Asset Movement Team.  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.
POSITION RESPONSIBILITIES: Assist with complex operational tasks that will require research and analysis related to Transfer and Money Movement requests.  Review and process workflow items. Resolve any issues within department service level expectations. Communicate with internal and external partners. Ownership of outstanding items requiring follow-up and resolution. Subject Matter Expert on all product related processes including but not limited to Mutual Funds, Equities, Annuities and Managed Accounts. Understand the changing regulations of the securities industry.  Support the M&T Securities Compliance and Risk team with monitoring and reporting of daily activity and exception reporting. Act as a liaison between our internal customers and various vendors. 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. Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies. 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.
NATURE AND SCOPE: M&T Securities, Inc. provides investment and insurance guidance for clients.  Products include but are not limited to annuities, mutual funds, life and disability insurance, stocks and bonds.
As part of the Specialized Brokerage Services team, you will look to create an environment which fosters the customer service experience by providing consistent and accurate professional service leveraging best practices while being both approachable and responsible.  We understand what is important as we strive for continuous self-improvement by taking ownership and providing others with confidence and trust in our capabilities.
MINIMUM QUALIFICATIONS REQUIRED: Obtain Series 99 within 90 days of employment
Associates degree plus a minimum of 2 years relevant work experience or Securities experience. OR in lieu of a degree, a combined minimum of 4 years higher education and/or work experience.
General knowledge of personal computers and related office equipment required as well as Microsoft Office Outlook, Excel, Word, SharePoint and PowerPoint. 
Possess excellent written and oral communication.  
Individual must exhibit great organizational skills and be able to make decisions based off of knowledge and written procedures. Ability to make independent judgement with little direction.
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.
IDEAL QUALIFICATIONS PREFERRED: 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.