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 reporting requirements
Responsibility for ensuring complete, accurate and timely 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
~2 years of experience in an Operations role (preferably with experience with derivatives)
Detail-oriented with a strong control mindset
Strong analytical & problem solving skills
A motivated, results-driven self-starter
Inclination towards process improvement & ways to increase operational efficiency
Ability to work under pressure & effectively prioritize competing demands in a fast-paced multi-client environment
Strong communication skills for partnership across Front Office, Technology, and Operations counterparts globally
Ability to understand front-to-back business processes & complex securitized derivative products
Proficiency with Excel & Bloomberg is required
VBA & Python experience is preferable but not a requirement
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Ascendo Resources specializes in placing accounting, finance, banking, compliance, healthcare, IT, HR, and administrative professionals in temporary and project opportunities, as well as direct hire positions. Through our specialized divisions, Ascendo has the solution to your critical staffing needs. We leverage our experience, market knowledge, professional network and extensive candidate database to get our clients the best available resources. Many recruiters look to fill positions too quickly or do not put enough effort into finding the best candidates. However, at Ascendo Resources, we diligently screen our candidates, check references, and probe clients on their requirements. We dig deeper than most by conducting a thorough assessment of our client needs, work environment, organizational structure and strategy, and necessary skills required for the position. We also get to know our candidates by understanding their career goals and objectives and other intangibles. Through our in-depth process, we provide specialized guidance in order to help you find the right candidate, with the right skill-set, for the right market value.
The Ascendo team is comprised of former industry professionals who began their careers holding positions with the Big 4, as well as Fortune 500 organizations. Their experience was further enhanced after successful management positions with high profile international staffing firms focusing on both consulting services and direct hire placement. After many successful years in the industry, the partnership of Ascendo was formed to provide the best available talent while remaining cost-effective and upholding the highest ethical standards. Through our previous professional experience and our established network of local professionals, Ascendo Resources can assist with all of your accounting, finance, banking, compliance, healthcare, IT, HR, and administrative staffing needs.