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Securities Operations Officer, Vice President
2 months ago
Responsibilities
The Securities Operations Division within the organization is responsible for the operational management, clearance, administrative tasks, and processing of transactions initiated by various business units.
This division also ensures the oversight and security of transaction processing in compliance with current financial regulations and SRO standards, as well as managing the Daily Settlement processes for relevant affiliates with securities held by the organization.
The department oversees several additional responsibilities related to clearance activities.
Key Responsibilities
The Securities Operations Officer plays a crucial role in the team, utilizing their technical, operational, and analytical expertise to collaborate with trading desks, outsourced services, and other internal departments to manage daily trading and clearing operations.
In this position, the Securities Operations Officer will:
- Manage functional and operational requirements in collaboration with stakeholders.
- Provide daily updates and reports for senior management.
- Ensure compliance with regulatory, legal, and internal requirements by liaising with relevant contacts.
Specific Duties Include:
- Preparing daily short sale reports.
- Reviewing and authorizing wire transfers throughout the day.
- Analyzing and escalating outstanding issues from outsourced service reports.
- Reviewing payable and receivable reports to ensure timely actions.
- Addressing suspense account issues and ensuring resolution.
- Identifying and resolving daily operational challenges.
Technical Skills Required:
- Proficiency in DTC Portal and extensive knowledge of Broadridge BPS and Impact systems.
- Competence in Microsoft Office Suite including Access, Excel, Word, Teams, and Outlook.
Competencies:
- Strong written and verbal communication skills tailored to various audiences.
- Ability to analyze complex workflows and recommend improvements.
- Capability to navigate from front-end trading systems to back-office operations.
- Comfort in a dynamic environment with shifting priorities.
- Excellent problem-solving skills and the ability to manage multiple tasks simultaneously.
Experience and Education:
- 10-15 years of experience in the financial sector.
- Familiarity with broker-dealer operations and market practices.
- Knowledge of fixed income and equity products, as well as US regulatory requirements.
Educational Background:
- Bachelor’s Degree is required.
- Series 99 certification is mandatory.
- A degree in Finance or Management is advantageous.
Company Culture:
At SGS Société Générale de Surveillance SA, we uphold our core values of commitment, responsibility, teamwork, and innovation. We prioritize ethical conduct and collective success, fostering an environment where new ideas are welcomed and relationships are valued.
Diversity & Inclusion:
We are dedicated to building a diverse workforce that enhances our competitive edge and delivers innovative solutions.
Work Environment:
We offer a hybrid work arrangement that balances remote and on-site work, promoting collaboration while adhering to organizational protocols.
Compensation:
The base salary range will vary based on skills and experience, and does not include overtime pay, bonuses, or other benefits.
