Trade Lifecycle Associate I
Trade Lifecycle Associate I
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Salary Not Disclosed
1 Vacancy
Job Description
Join our Broker-Dealer Servicing team and play a key role in ensuring flawless transaction processing and regulatory compliance. Be at the heart of capital markets operations collaborating with internal and external stakeholders while driving process improvements and team development. Unlock your potential in a dynamic environment that values accuracy control and continuous learning.
As a Broker-Dealer Servicing Operations Specialist within our team you will manage end-to-end transaction processing reconciliation and regulatory reporting (FED FINRA SEC). You will ensure best-in-class execution maintain process controls and drive continuous improvement. You will collaborate with agents clients senior management and relationship managers while supporting team development and maintaining high standards of accuracy and compliance.
Job responsibilities
- Execute daily transaction processing reconciliation and regulatory reporting in line with SOPs.
- Publish periodic metrics track deviations and follow up on ageing items.
- Maintain end-to-end process responsibility including end-of-day and critical intra-day reports.
- Escalate errors and exceptions promptly upon identification.
- Respond to routine queries and complaints ensuring completeness and accuracy.
- Ensure audit focus in all business-as-usual activities.
- Comply with firm policies and standard operating procedures.
- Navigate systems proficiently and accurately.
- Identify and implement process efficiency opportunities in a controlled manner.
- Communicate effectively with key stakeholders.
- Maintain thorough knowledge of SOPs and related checkpoints.
Required qualifications capabilities and skills
- Minimum five years of experience in capital markets.
- Ability to work under pressure and make accurate decisions in stressful situations.
- Proven ability to lead manage and motivate teams.
- Strong client focus and customer service skills.
- Excellent time management and organizational skills.
- Control-oriented and proactive approach.
- Quick learner with the ability to grasp concepts and procedures rapidly.
- High attention to detail and analytical skills.
- Proficient in Microsoft Office applications (Excel Word PowerPoint Access).
- Strong oral and written communication skills.
- Ability to work independently and as part of a team in a fast-paced environment.
Preferred qualifications capabilities and skills
- Experience in securities operations is an advantage.
- Experience in team management and driving team morale.
- Experience partnering with local OCM teams for QA tests MIS and audits.
- Ability to review and improve productivity benchmarks.
- Experience collaborating with managers to ensure complete business control.
Required Experience:
IC
Employment Type
Full-Time
