Securities Operations Specialist

LevelUP HCS; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

LevelUP HCS is seeking an experienced securities operations professional to support product and trade operations for a major European banking client. The role emphasizes regulatory compliance, process improvements and robust controls across settlement and custody activities.

The position requires coordinating audits, liaising with global operations and front-office teams, and guiding them through compliant product solutions while maintaining accurate reporting and risk management.

Qualifications

• Experience in securities operations management and audits.
• Strong regulatory knowledge and compliance focus.
• Ability to coordinate audits and liaise with regulators.

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.
• Liaise with Business Management and global GS-Operations to review and implement new products and processes.
• 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 deliver custody reports and market updates for customers.
• Design and produce market and industry updates for customers and management.
• Supervise offshore service providers to deliver against service level agreements. Take immediate steps to address non-compliance.
• Perform thematic QA reviews on service providers’ QA results. Develop required training of service providers.
• Develop necessary process and controls for a Retained or Middle Office operating model. Accountable for executing those controls.

Skills

Securities ops

Regulatory compliance

Process improvement

Audit coordination

Front office liaison

Vendor management

Advanced Excel

Presentation skills

Education

Series 27 license

Tools

Broadridge BPS

Broadridge Impact

Excel

PowerPoint

Word

Job description

Our European banking client is seeking an experienced securities operations professional to support product and trade operations, regulatory compliance, process improvements, and controls while partnering closely with global operations and front-office teams.

Position Summary

Working within Product and Trade Support, the individual will ensure the department provides expert support, including coordinating product and process initiatives within the department. This person must be very familiar with compliance and applicable regulatory rules and will be responsible for the coordination of audits for the department. He or she will liaise with the global operations team and our Front office clients, guiding them through product solutions.

Essential Duties and 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.
• Liaise with Business Management and global GS-Operations to review and implement new products and processes.
• 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. Communicate all such changes, revisions and developments to management, and appropriate internal colleagues.
• 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.
• Supervise offshore service providers to deliver against service level agreements. Take immediate steps to address non-compliance.
• Perform thematic QA reviews on service providers’ QA results. Develop required training of service providers.
• Develop necessary process and controls for a Retained or Middle Office operating model. Accountable for executing those controls.

Experience / Qualifications / Education

• 5 to 10 years of securities operations management experience.
• Series 27 license highly recommended.
• Broadridge BPS and Impact skills.
• Experience with BNY / BDC and FICC.
• 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.
• Strong presentation and communication skills.
• Self-starter able to perform duties under pressure and make decisions with little supervision.