Analyst, Mutual Fund, Security Master, and Physical

2 weeks ago

Toronto, Canada Questrade Financial Group Full time

Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure.

We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about our mission and each other. Your team members will help you conquer challenges, push boundaries and discover what you are truly capable of.

This is a place where you can explore, discover and learn with continuous growth. As a diverse and inclusive place to work, there are flexible working arrangements so you can unleash your creativity and curiosity with no limits. If you share the same sense of infinite possibility, come shape your future at Questrade.

What’s in it for you as an employee of QFG?
- Health & wellbeing resources and programs
- Paid vacation, personal, and sick days for work-life balance
- Competitive compensation and benefits packages
- Hybrid and flexible work arrangements
- Career growth and development opportunities
- Opportunities to contribute to community causes
- Work with diverse team members in an inclusive and collaborative environment

We’re looking for our next Analyst, Mutual Fund, Security Master and Physical Securities. Could It Be You?
The purpose of the Analyst, Mutual Fund, Security Master and Physical Securities is to mitigate financial, regulatory and reputational risks by ensuring the SLA and regulatory compliance of third-party clearing operations services and in-house processes. They work collaboratively to foster productive and positive relationships for the benefit of Questrade’s clients and overall business operations.

What’s it like working as Analyst, Mutual Fund, Security Master and Physical Securities at Questrade?
The Analyst, Mutual Fund, Security Master and Physical Securities is responsible for tasks in various subgroups within clearing operations, such as physical security processing, mutual fund clearing and settlement, maintaining security master, and other tasks as assigned. The position monitors, audits and measures in-house processes and third-party services against SLA’s and regulatory obligations, then reports on the results.

They act as the first and primary point of contact for outsourced back-office staff. They foster positive and productive relationships internally and with third parties, and they work collaboratively with all parties to effectively resolve issues.

Need more details? Keep reading
Precious Metals
- Review and book precious metals trades received from Trade Desk and dealers
- Review and process all precious metals withdrawal requests received from clients.
- Charge monthly storage fees to client accounts.
- Act as the main contact for Product Support team and all administrative requests
- Update daily house price for all precious metals
- Administration/reconciliation of precious metals

Mutual Funds
- Reconcile breaks from BPS (Broadridge) and Fundserv, contact other fund companies to understand the breaks and resolve the issues.
- Add Mutual Fund to the system (ZMFS, ZMFR) in case of rejection notification for buy/redemption of funds.
- Point of contact for other Mutual Funds companies, assist in resolution and dispute in case of early redemption
- Assist and resolve mutual fund trade related issues
- Reconcile Manual funds on a monthly basis with Broadridge.
- Book cheques for Mutual Fund redemption
- Monthly focus group meeting with Broadridge; resolving issues and improving system performance.

Security master maintenance (MSD)
- Create private security for bonds, equity, rights and warrants
- Add/update house price for bonds

Physical Certificates
- Review and book all incoming Canadian, US and foreign physical certificates for new, existing and transferring clients
- Prepare physical certificates for deposit to depositories (CDS/DTC/APEX)
- Prepare physical certificates for splits and re-registration to transfer agents and/or bond issuers
- Prepare physical certificates to transfer out (for Transfer Team)
- Return any rejected physical certificates to clients or brokers
- Review and initiate all DRS and DWAC (Direct Registration Statement / Deposit/Withdrawal at Custodian) deposits and withdrawals for clients
- Remove and clean up all expired securities
- Book all certificate fees related to requests
- Conduct and organize a quarterly vault count of physical certificates
- Maintain an up-to-date log of all physical certificates received for audit
- Prepare and provide back-ups for yearly audit

Other Functions
- GIC and EMP tasks involving purchase, redemption, and transfers
- Side projects and other tasks, as assigned

So are YOU our next Analyst, Mutual Fund, Security Master and Physical Securities? You are, if you have
- 2+ years of relevant work experience, ideally in the financial services industry
- Sound knowledge in one or two areas of Mutual funds,

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