GBM - Equities Franchise - Operations - AnalystSpectraforce Technologies • Salt Lake City, UT, United States
GBM - Equities Franchise - Operations - Analyst
Spectraforce Technologies • Salt Lake City, UT, United States
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job_description.job_card.job_descriptionTo mitigate Economic Affirmation risk in Equities, ensuring trade details are affirmed within department guidelines. Mitigate the risk of any key economic differences between both Client and Client's bookings. Ensures discrepancy resolution for any disputes raised by the clients on our confirmations in a timely manner. Review and resolve discrepancies raised by clients on our confirmations. Review of incoming counterparty documents and works with the counterparties to agree the confirmation templates to be executed. Highlighting all discrepancies raised by clients promptly and working with Trading and Sales to ensure the trade has been accurately booked. Follow up with clients on execution of Legal confirmation and electronic matching of trades Ensure risk is mitigated for trades categorized as critical and high priority. Escalate outstanding trades in Critical category risk to senior management. Understanding of risk and controls required to support derivative transactions. Contributes to the effectiveness of the team by working closely with colleagues by sharing information, skills, and responsibilities. Excellent attention to detail and accuracy. Effective problem solver. Takes actions to ensure that controls are in place and procedures are followed. Strong Microsoft Excel skills. Skilled at gathering and analyzing quantitative data to guide decision-making. Demonstrates strong leadership skills, ability to gather stakeholder support for initiatives across teams and see them through to execution. Set strategy and direction for tech and workflow initiatives that will improve execution process and mitigate risk efficiently. Assist with reporting and presentations that articulate the overall compliance metrics, story, and strategy. Work directly with the line teams to identify non-compliant themes and patterns and improve execution timelines. Work closely with Ops Senior Management, Sec Div Compliance, and Sales PMDs in the Securities Division to develop and execute on firmwide compliance strategy. Set strategy and direction for the team that will improve compliance rates. Work directly with the line team to ensure risk is mitigated via Affirm and Confirmation process for EQD derivative trade confirmations. Demonstrate technical judgment and accuracy by ensuring the team understands the economics of the trade and verify the accuracy in the firm's booking systems. Mitigate risk through maintaining accuracy and procedural conformity. Assist in the resolution of any exceptions that may arise in a timely manner. Proactively partner with internal groups (sales, trading, compliance) to execute EQD confirmations. Bachelor's Degree.
Job title : GBM - Equities Franchise - Operations - Analyst
Duration : 6 months
Location : Salt Lake City, UT, 84111
Overview :
- The Confirmation Execution Group has a primary responsibility of managing our counterparty risk by executing Electronic and ISDA (International Swaps and Derivatives Association, Inc.) confirmations with Broker Dealers and our Institutional Clients (Hedge Funds, Pension Funds, Mutual Funds, and Reinsurance Groups).
- The team is responsible for managing risk in a high stakes environment, primarily focusing on Equities and Foreign Exchange products.
- As a member of the Confirmations Execution Group, you will have a high level of client interaction and involvement with other internal ops teams and Sales and Trading.
- You will be required to be enthusiastic, dynamic, flexible, client service orientated and focused on control, accuracy and maximizing efficiency.
- Initially a new member to the team will concentrate on learning the systems, developing processes and controls, and understanding various products and trade events.
- Once fully integrated, team members could participate in Projects, Enhancements, and Industry Initiatives from time to time.
Job Summary and Responsibilities :
Basic Qualifications :
Primary Responsibilities :
Education :
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