Settlements Associate/Associate Director
1 month ago
Settlements Associate/Associate Director - Domestic and International - NYC - Hybrid
Key Responsibilities:
-Execute and monitor the settlement of trades in accordance with established timelines and procedures, ensuring timely resolution of any settlement-related issues.
-Manage the reconciliation of trade confirmations, trade bookings, and settlement instructions to ensure accuracy and completeness.
-Coordinate with brokers, custodians, counterparties, and clearing houses to facilitate the smooth settlement of domestic or international trades.
-Handle the resolution of failed trades, discrepancies, and trade breaks efficiently, working closely with internal and external stakeholders.
-Stay updated with industry regulations, market practices, and technological advancements affecting settlements processes, including DTC rules or international settlement protocols.
-Collaborate with trading desks, middle office, and other relevant teams to streamline settlements workflows and enhance operational efficiency.
-Conduct investigations into settlement discrepancies and implement corrective measures to prevent reoccurrence.
-Monitor and manage collateral requirements for settlement obligations, ensuring compliance with regulatory and risk management guidelines.
-Participate in projects aimed at enhancing settlements processes, automation initiatives, and system enhancements.
-Provide support during audits, regulatory examinations, and internal control assessments by ensuring adherence to regulatory requirements and internal policies.
Required Qualifications:
2+ years of experience in settlements operations within the financial services industry.
-Specialized expertise in either DTC settlements or international settlements processes.
-Strong understanding of trade lifecycle, clearing, and settlement processes across various asset classes.
-Proficiency in using settlements systems and platforms such as DTC, SWIFT, or similar.
-Excellent analytical skills with the ability to identify and resolve settlement discrepancies effectively.
-Strong communication and interpersonal skills, with the ability to collaborate with internal and external stakeholders.
-Detail-oriented approach with a commitment to accuracy and compliance in settlements processing.
-Knowledge of regulatory requirements governing settlements operations, including Dodd-Frank, EMIR, and CSDR.
Preferred Qualifications:
-Previous experience working in a brokerage firm, investment bank, asset management firm, or financial institution.
-Professional certifications such as Certified Securities Operations Professional (CSOP) or Certified Securities Operations Specialist (CSOS).
-Familiarity with securities lending, repo, and collateral management processes.
-Experience with implementing settlements automation solutions or process improvements.
-Multilingual proficiency, especially in languages relevant to international settlements operations.
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