Merchandise Processor responsible for organizing merchandise and clerical support. Ensuring accurate inventory and shipping processes in a fast - paced environment.
About the role
- Settlements Operations Manager overseeing DTC Settlements and Vault Operations at Broadridge. Ensuring compliance, operational excellence, and client relationship management.
Responsibilities
- Provide outsourced operational/transactional business process support for clients, ensuring quality service and operational performance within the parameters of both the client needs and contract
- Lead and supervise DTC Security Settlement functions and related processes such as Vault processing, pair-offs, spo charges, RAD management, fail reporting, regulatory obligations such as FINRA extensions, break resolution, DK reporting, New issue processing, EOD Balancing, ETF settlements, Obligation warehouse, Buy-ins, Free deliveries and receives for a U.S. team with responsibilities governing our global off-shore resources
- Oversee supervisors, team leads, and associates in the DTC / Vault Settlements area
- Coach and mentor staff with responsibilities include providing constructive feedback, conducting annual performance reviews, managing salary and bonus budget for the group
- Identify automation opportunities and make recommendations to implement technical solutions in an efficient manner
- Accountable for daily operational functions
- Address daily operational escalations from clients as a result of system or human error and resolve them in a timely manner
- Also communicate the issue, solution, and plan of action for future avoidance in a timely manner to both the internal and external parties
- Mitigate Financial risk and market exposure for clients by proactively addressing unsettled trades with high Mark to Market (MTM) exposure and by monitoring ledger-to-bank reconciliation reports
- Participate in recruitment process by conducting technical interviews, devise training plan for new associates, supervise and track their progress via various metrics
- Implement and maintain quality controls by ensuring Written Supervisory Procedures (WSP) is adhered by the group
- Develop and maintain Standard Operating Procedures (SOP) for training purposes, for reference during critical issues and for seamless operations
Requirements
- 5+ years of experience with a bachelor's degree/equivalent experience
- Experience in a supervisory role within DTC Settlements
- Vault experience is preferred
- Series 99 preferred
- A driven individual who is looking for self and process improvement
- A willing learner who is open to new ideas and concepts
- Ability to meet and deliver positive work on strict deadlines
- Ability to strengthen bonds and communicate effectively and clearly with both colleagues and clients
- Self-motivated individual who wants to push themselves towards excellence
Benefits
- Bonuses
- Comprehensive benefit offerings
Job title
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