Monitor trade affirmations to comply with T+1 regulations
Ensure timely and accurate settlement of trades, while mitigating operational risk
Process and reconcile daily trade settlements in a timely and accurate manner
Monitor and manage trade exceptions, ensuring prompt resolution and escalation when necessary
Conduct thorough research and analysis to identify and resolve any discrepancies in trade settlements
Collaborate with various internal teams to ensure smooth settlement processes
Develop and maintain strong relationships with external clients and counterparties to facilitate efficient settlement processes
Stay up to date on industry regulations and compliance requirements related to trade settlements

Bachelor’s Degree
2 or more years experience in trade operations, settlements, or allocations
FINRA Series 7
An additional 5 years’ experience in product area may be considered in lieu of Bachelor’s degree
Experience working with mortgage products, including TBA and Pools
Knowledge of securities regulations, compliance, and industry standards

Associate Director – Mid Office, Capital Markets

About this role