Investment Banking Operations Analyst

3 weeks ago

Stamford, Connecticut, United States Software Guidance and Assistance, Inc. Full time
About the Opportunity

We are a technology and resource solutions provider driven to stand out. Our mission is to solve big IT problems with a more personal, boutique approach.

Role Summary

This Investment Banking Operations Analyst role requires a highly skilled professional with strong knowledge of Fixed Income products, Repo / Triparty Processing, and Central Clearing.

Main Responsibilities
  • Operational lead owning and remediating front end & time sensitive issues ensuring trade lifecycle flow.
  • Collect, review, and challenge Broadridge Standard Operating Procedures and daily output, working with Broadridge and internal stakeholders to highlight concerns and remediate incidents.
  • Ensure Broadridge preparedness on any Industry, Change, and Regulatory initiatives.
  • Identify and own opportunities to re-engineer processes & controls from a simplification, cost saving, regulatory, and customer perspective.
  • Attend regular governance meetings with service providers - ensure issues are raised and actioned, meetings are well documented, required procedural changes are discussed and agreed, audit results are reviewed and addressed.
  • Maintaining an effective control environment through review and distribution of policy updates, SOX/RACA identification and creation of controls, adequacy reviews and testing, MI Review and Reporting, and maintenance of governance documentation
  • Effectively manage key relationships and work closely with regional and global teams across the organization including front office, operations, compliance, finance, and technology.
  • Perform and deliver project work in collaboration with other teams, regionally and globally, to align with the bank's strategy.
  • Regular reporting to management on status of outsourced and offshored activities, with particular attention to any risks, issues, and remediation actions.
Requirements
  • A strong front-to-back understanding of Fixed Income products, Repo / Triparty Processing, and Central Clearing.
  • Extremely detail-oriented, hard-working, positive attitude, and enthusiasm for solving complex problems.
  • Strong knowledge of Fixed Income settlements, collateral management, and funding.
  • Direct understanding of US regulatory requirements specific to Broker Dealer Operations.
  • FINRA Series 99 and/or 7.
  • 10+ years' experience in Investment Banking - Fixed Income Operations and or Middle Office.
Benefits

As a valued member of our team, you can expect a comprehensive benefits package, including health insurance, retirement savings plan, and paid time off.

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