Capital Markets Operations Manager

2 days ago


Edison, New Jersey, United States Alliance Sourcing Network Full time
Capital Markets Operations Manager

Permanent Opportunity

Alliance Sourcing Network is seeking a highly experienced Capital Markets Operations Manager to lead the day-to-day operations of the Capital Markets Back Office (CMB) for Client Securities. The ideal candidate will have strong management experience, Series 27 or 24 Registration, and multiple years of Capital Markets experience.

Key Responsibilities:

  • Manage DTCC/FICC, Fedwire, and Euroclear activity
  • Oversee clearing proprietary activity as well as Affiliate clearing activity
  • Manage operational aspects of a US repo matched book utilizing BONY BDC/Accessedge systems
  • Experience in new issue settlement

Functional Areas of Responsibility:

  • P&S (Trade processing/matching)
  • Settlements
  • Corp Actions
  • SBL (Equity and Fixed Income)
  • Claims Processing

Requirements:

  • Compliance with Client requirements pertaining to Broker Dealer Operations Supervision
  • Stock Record proficiency
  • Working closely with Treasury/Repo desk on daily funding
  • Experience dealing with Clients, especially during annual FINOP Exams
  • Basic knowledge of Customer Reserve and Net Capital charges impacted by Operations activity
  • Extensive interface with Regulatory Reporting Function (Broker Dealer CFO office)
  • FIS Phase3 experience a plus

SPECIAL ROLE REQUIREMENTS:

  • Manage staff of 20, including daily workflow, appraisals, employee growth, and development
  • Client Series 27 or 24 License REQUIRED
  • 5-10 years of Securities experience REQUIRED
  • 5-10 years of Management experience REQUIRED


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