About The Position

The Associate in Equities Execution Client Operations provides post-trade service to institutional clients. The role covers client trade processing and settlement, risk management, and responding to client inquiries. The Associate works directly with clients and external brokers, manages a dedicated book of clients or market, develops client relationships, investigates issues and exceptions, and improves processes while maintaining strong controls and accurate books and records. Operations partners across the firm to deliver banking, sales and trading, and asset management capabilities, while providing risk management and control. Equities Execution Client Operations is responsible for booking and settling trades and maintaining accurate records for the firm’s Equities clients. The team seeks commercial solutions for client needs without compromising risk and control.

Requirements

  • Bachelor’s degree.
  • Comfort presenting complex information in a structured and concise manner.
  • Ability to work in a fast-paced environment with multiple processing deadlines throughout the day.
  • Strong attention to detail, prudent risk aversion, and control-forward thinking.
  • Drive to implement process improvements and challenge inefficiencies.
  • Strong interpersonal skills and ability to work well in a team.
  • Ability to manage smaller projects and initiatives, influence others, and implement change in a consensus-driven environment.

Responsibilities

  • Work with clients and external brokers to settle client trades and resolve trade-related issues.
  • Manage a dedicated book of clients or market, develop client relationships, and provide service across the trade life cycle.
  • Investigate client inquiries and find solutions to issues that arise.
  • Investigate exceptions in internal books and records, identify resolutions, and escalate issues as needed.
  • Analyze and improve processes and procedures to reduce risk and eliminate repetitive work.
  • Influence client behavior to support strong operational and client service outcomes.
  • Support trade booking and settlement and maintain accurate books and records.

Benefits

  • Competitive benefits and wellness offerings, including training and development opportunities, firmwide networks, and personal finance and mindfulness programs.
  • Potential eligibility for a discretionary bonus for active employees as of fiscal year-end.
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