Associate Director - Operations

Job Description

Our client is an investment banking firm. They seek an Associate Director-Operations to join their Manhattan, NY office. Please note, this role's hours are 1PM-10 PM depending on workload and after an onboarding period, the role is remote with quarterly in office days to connect with the team in person.

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Key Responsibilities

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• Manage end-to-end client onboarding, including new accounts, sub-accounts, and managed funds.
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• Maintain accurate client static data, including settlement instructions, commission details, and regulatory classifications.
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• Oversee timely and accurate trade booking and allocation through CTM, FIX, and manual workflows.
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• Deliver accurate trade confirmations across equities, fixed income, and U.S. Treasuries.
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• Manage the full trade lifecycle from booking and matching through settlement across domestic and global markets.
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• Investigate and resolve settlement breaks, fails, unmatched trades, and SSI discrepancies while working directly with clients and counterparties.
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• Perform daily position reconciliations to ensure accurate trade capture and downstream processing.
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• Complete TRACE reporting for fixed income products in accordance with regulatory requirements.
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• Create and track JIRA tickets and support UAT and regression testing for system changes.
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• Identify opportunities to streamline workflows, strengthen controls, and improve operational efficiency.
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• Act as a primary contact for internal and external audits, providing documentation, clarification, and remediation updates as needed.
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• Ensure operational procedures are followed, regularly reviewed, kept current, and aligned with regulatory and internal governance standards.
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• Lead and support operational projects, including system upgrades, process improvements, and cross-functional initiatives.
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• Respond promptly to client inquiries and provide high-quality trade lifecycle support.
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• Manage operational exceptions, including penalties, buy-ins, corporate actions, and cash discrepancies.
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• Mentor junior team members and support their ongoing development.
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Qualifications

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• Bachelor’s degree or higher in Finance, Business, or a related field.
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• 7–13 years of relevant experience in Operations, Middle Office, Back Office, or Trade Support within a financial markets environment.
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• Series 7 or SIE and Series 99 licenses required.
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• Proficiency with FINRA TRAQS, DTCC ALERT, CTM, and Microsoft Office strongly preferred.
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• Strong understanding of global market settlement processes and client trade support functions.
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• Familiarity with financial products, markets, and related trading and settlement workflows.
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• Strong attention to detail and accuracy, with excellent analytical, quantitative, organizational, problem-solving, project management, client service, and multitasking skills.
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• Client-focused and execution-oriented, with a commitment to delivering timely, high-quality service.
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• Ability to work well under pressure and manage multiple priorities in a fast-paced environment.
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• Proactive, self-motivated, results-driven, and able to work both independently and collaboratively.
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• Excellent written and verbal communication skills.
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JobID: 48561