Investment Analyst - Underground Administration

Investment Analyst

115-132k

Hybrid in Charlotte, NC

We are seeking a candidate with 4+ years of Investment Operations/Analysis experience. The candidate needs to have expert knowledge of buy-in rules for domestic markets including DTCC, Fed and physical clearance. They will bring expert knowledge of DTCC Smart/TRACK system, OW, Settlement Web and FINRA. 

Benefits

• Start on 1st day
• Medical, dental, vision
• 6% match on 401k, 4-16 weeks paid parental leave
• 144 hours up-front PTO, additional PTO afterward (accrued)
• Variable bonuses, backup child care, tuition reimbursement 
• Commuter benefits, paid parking, more

Responsibilities

• Monitor regulatory buy-in processes and action accordingly (204, Reg-T, MSRB)

• Leverage buy-in processes to reduce fail obligations and firm risk (seg deficits)
• Monitor CNS obligations and liabilities and liaise with Securities Lending to remediate short positions and fails to receive
• Monitor Smart/TRACK system for buy-in notices from counterparties
• Liaise with counterparties to remediate open buy-in obligations
• Provide coverage for international buy-in obligations
• Maintain firm policies and procedures relative to street buy-in practices
• Manage client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issues
• Lead or participate in moderately complex initiatives and deliverables
• Contribute to large scale planning related to process, procedures and efficiencies with internal and industry related initiatives
• Identify and recommend opportunities for process improvement and risk control development
• Provide leadership to bring groups together to resolve multi-faceted complex issues
• Serve as a leader on projects along with internal and industry related initiatives
• Review and analyze complex functional and operational tasks that require in-depth evaluation
• Exercise independent judgment and resolution to guide the deliverable
• Resolve moderately complex issues
• Lead team to meet functional area projects, and process deliverables
• Leverage solid understanding of functions, policies, procedures and compliance requirements
• Mentor and assist analysts
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

Required

• At least 4 years of Institutional Investment Operations experience

Desired

• BS/BA degree in Finance or similar
• 3+ years of experience in the securities industry with emphasis on buy-in and international trade settlement
• Expert knowledge of DTCC Smart/TRACK system, OW, Settlement Web and FINRA
• Expert knowledge of buy-in rules for domestic markets including DTCC, Fed and physical clearance
• Working knowledge of buy-in rules for international markets including Euroclear, Clearstream, Crest and various local markets
• Working knowledge of Broadridge systems including GLOSS, Impact and BPS
• Working knowledge of Prime Broker operations