Securities Operations Manager
2 months ago
- Oversee the daily operations of the securities processing team, including trade settlement, clearing, and reconciliation.
- Ensure timely and accurate processing of all securities transactions in accordance with internal policies and regulatory requirements.
- Manage and resolve any operational issues, discrepancies, or exceptions that arise.
- Stay current with industry regulations and ensure that all operations comply with relevant laws and guidelines.
- Implement and maintain internal controls to prevent errors and ensure adherence to compliance standards.
- Prepare and review reports for regulatory bodies and internal stakeholders.
- Monitor and analyze key performance indicators (KPIs) to track progress and address any areas of concern.
- Identify and assess operational risks related to transactions and develop strategies to mitigate those risks.
- Ensure that all operational procedures are documented and reviewed regularly to maintain risk management standards.
Requirements
- 4+ years of experience working in operations within a wealth management or similar environment.
- Experience handling securities, trades, settlements, reconciliations etc.
- Bachelor's degree or higher in related field
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