Job Description

Responsibilities:

• Perform product, system testing and implementation for financing, custody, settlements and asset services
• Review workflows with a focus on process improvement
• Develop and design workflow enhancements
• Coordinate and support application implementations and upgrades on securities processing platforms
• Monitor and provide reporting on control performance in appropriate bank or departmental platforms
• Interface with auditors and regulators such as FINRA during examinations or when called upon
• Review relevant regulatory changes and updates, and ensure they are incorporated into departmental management processes
• Regularly update policies and procedures, keeping them current in accordance with bank and regulatory requirements
• Create and maintain risk and management reporting
• Create and deliver custody reports and market updates for customers
• Design and produce market and industry updates for customers and management.

Qualifications:

• 5 to 10 years of securities operations management experience
• Undergraduate degree or relevant experience
• Series 27 required
• Broadridge BPS and Impact skills
• Experience with BNY / BDC
• Ability to partner with Finance plus strong accounting skills a plus
• Exhibit expert understanding of end-to-end securities processing and fundamental understanding of accounting principles as they relate to the securities products
• Strong ability to use desktop applications, Word, Advanced Excel and PowerPoint

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