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Head of Securities Operations

4 months ago


New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

Join our Team at SMBC Nikko Securities America, Inc.

Discover an exciting opportunity to be a part of our team at SMBC Nikko Securities America, Inc., a leading financial institution within the Sumitomo Mitsui Financial Group. Located in New York City, we are dedicated to providing top-tier financial products and services to institutional clients across North America and Latin America. Be part of a dynamic and growing team focused on achieving key milestones, including acquiring primary dealer status.

About the Role
  • Lead a team of 30 professionals handling middle office, settlement, and reporting functions for the Nikko Treasury business.
  • Be the primary point of contact for various stakeholders, ensuring alignment and compliance with regulatory requirements.
  • Drive local, regional, and global initiatives related to the Fixed Income business.
  • Coordinate audit activities and maintain relationships with clearing houses and custody banks.
  • Oversee strategic projects and IT applications, ensuring business objectives are met.
  • Act as a key player in disaster recovery exercises and team management.
Qualifications and Skills
  • Bring more than 15 years of experience in Fixed Income/Treasury Operations management.
  • Hold a FINRA Series 99 certification or equivalent.
  • Demonstrate strong communication skills and expertise in treasury settlement processes.
  • Have in-depth knowledge of FINRA rules, clearance processes, and industry platforms.
  • Proven track record in delivering process efficiency improvements and problem-solving.
Additional Information

At SMBC Nikko Securities America, Inc., we are committed to fostering diversity and inclusion, ensuring a supportive and equitable work environment for all employees. Join our hybrid workforce model, offering flexibility between remote work and office presence. If you are passionate about making a difference and driving success in the financial industry, apply now