Description The Equities Middle Office is responsible for a variety of functions supporting the Equity Derivative, Equity Financing and Cash Equity trading businesses. These responsibilities span across multiple markets and products including otc equity derivatives, cash equities, exchange traded derivatives, and margin loans. This role will focus on regulatory requirements of trade reporting across the business and daily support of the Exotics Financing business. The individual will work closely with traders, technology, product control, and various other teams across the organization both regionally and globally, ensuring efficient daily operations and controls.
Management of the day to day governance of the Firm's OATS reporting requirements
Responsibility for ensuring complete, accurate and timely OATS reporting of all relevant data to FINRA.
Partnering closely with multiple internal controls areas (Legal, Compliance, Audit, Technology, and the Oats Principal) to ensure the Firm's Regulatory Reporting requirements are met.
Liaising closely with the Business, Compliance, and Technology to assess risks and controls for new trading and booking flows, market and exchange changes, and additional regulatory reporting requirements.
Partnering with Technology to produce and manage a program that insures technology releases and upgrades remain compliant with pertinent reporting requirements
Improving the Firm's existing Regulatory reporting framework by assisting in the creation of exception reports for specific lines of business, improving processes and creating a durable control environment.
Liaising with Exotics Financing traders and counterparties to ensure accurate trade capture
Coordinating and capturing loan draw down requests for clients
Preparing and syndicating control materials to be presented in multiple forums for senior trading and operations management
Identifying areas for improvement and drive change to enhance control and reduce manual intervention
Strong analytical and problem solving skills
Ability to multitask and to work under pressure, prioritizing duties according to risk
Previous experience in the Financial Services industry, ideally with understanding of Cash Equities products and reporting regulations
Ability to face off to very demanding stakeholders, managing their expectations but moreover develop strong working relationships with them,
Excellent problem solving skills in order to identify, understand and address operational and technical issues
Strong communication skills, both written and verbal. A key aspect of this is the ability to clearly articulate issues and influence resolution
A self motivated individual who is able to deliver with minimal supervision, whilst also working effectively as part of a team
Experience in a middle office or operations role Securities product knowledge
Internal Number: 5871131
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