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Buy-In | Fails Control | CNS Specialist | Financial Services

4 months ago

Charlotte, United States mosaicpartners Full time

Top Tier Investment Banking firm looking for a Buy-In | Fail Control Specialist to join their growing team. This is an excellent opportunity to Monitor regulatory buy-in processes and action accordingly (204, Reg-T, MSRB). Leverage buy-in processes to reduce fail obligations and firm risk (seg deficits). Monitor CNS obligations and liabilities and liaise with Securities Lending to remediate short positions and fails to receive.


QUALIFICATIONS:

  • 4+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • BS/BA degree in Finance or related field
  • 3+ years of experience in the securities industry with emphasis on buy-in and international trade settlement
  • Detail oriented with effective organizational skills
  • Proficiency in Microsoft Excel is required for analytical purposes (e.g., pivot s, vlookups, sumifs, etc.)
  • Basic knowledge of Microsoft PowerPoint is required to support the group’s presentations to senior management
  • Strong written and oral communication skills
  • Expert knowledge of DTCC Smart/TRACK system, OW, Settlement Web and FINRA
  • Expert knowledge of buy-in rules for domestic markets including DTC, Fed and physical clearance
  • Working knowledge of buy-in rules for international markets including Euroclear, Clearstream, Crest and various local markets
  • Working knowledge of Broadridge systems including GLOSS, Impact and BPS
  • Working knowledge of Prime Broker operations


This role will be HYBRID out of the Charlotte, NC office.