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Found 3 Skills
Design and implement straight-through processing and operational automation for securities operations. Use when measuring STP rates and identifying manual touchpoints in an existing process, replacing review-all workflows with exception-based processing, selecting automation patterns for account opening trade processing settlement reconciliation or billing, designing integration between portfolio management custodian CRM and order management systems, building exception queuing categorization and auto-resolution workflows, evaluating RPA vs API-based vs hybrid automation for legacy systems, establishing operational controls and audit trails for automated environments, conducting process mining or root cause analysis on exception volumes, or setting STP rate targets and continuous improvement programs.
Process and manage corporate actions from announcement through settlement. Use when handling dividends stock splits reverse splits mergers or spin-offs, managing voluntary elections for tender offers rights offerings or exchange offers, calculating record date and ex-date entitlements under current settlement cycles, building client notification workflows for upcoming corporate actions, collecting and submitting voluntary action elections to DTC or custodians, calculating fractional share handling or proration for reorganization events, adjusting cost basis and tax lots after corporate actions, reconciling expected entitlements against actual receipts, investigating missed or incorrectly processed corporate actions, or designing corporate action processing systems and controls.
Design and implement workflow automation with task routing approval chains and SLA monitoring for securities operations. Use when building a new operational workflow for account opening maintenance transfers or corporate actions, implementing task routing logic based on type priority or capacity, designing multi-level approval chains with dollar thresholds and delegation of authority, defining escalation rules for aging work items approaching SLA breach, selecting a workflow engine or BPM platform like Camunda Pega or ServiceNow, modeling an operational process as a state machine with defined transitions, adding audit trail and logging for SEC Rule 17a-3 or FINRA supervisory obligations, migrating from email-and-spreadsheet tracking to a structured workflow system, or measuring cycle time throughput queue depth and rework rate.