Associate, Reference Data & Controls

Sumitomo Mitsui Banking Corporation•Charlotte, NC

7d•Hybrid

About The Position

The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to provide operational support to the Fixed Income Securities business. This role is an extension of the broader New York based Securities Operations team. The role reports to the Head of Charlotte Operations. This position will be located in our Charlotte office.

Requirements

Excellent verbal and written communication skills with ability to articulate concepts and ideas to diverse audiences
Strong organizational skills
High level customer service mindset with a commitment to supporting key stakeholders
Ability to work under pressure and deliver results within tight timelines
Ability to identify and assess problems, determine the root cause and propose recommendations and/or solutions
Ability to utilize independent judgement and decision making
Ability to multitask and deliver high quality results in a fast-paced environment
Minimum 5 years of experience in Financial Services
2+ years of experience working in client/static data management
BA/BS preferably in Finance or Economics
Proficiency in Microsoft Office applications

Nice To Haves

Proficiency in Bloomberg TOMS, DTCC Alert, FICC, Broadridge IMPACT, FIS Loanet

Responsibilities

Work closely with Broadridge BPO to ensure accurate and timely setup of data requests
Serve as primary contact for Broadridge BPO and SMBC stakeholders on matters of customer and static data
Maintain static data related to counterparty contacts and payment instructions
Assistance with projects/initiatives related to enhancing current processes and controls, including planning and implementation
Work with Client Onboarding Team to comply with internal client data management
Responsible for the creation and distribution of all confirms and statements (automated through Broadridge services)
Preparation of metrics and other reports as required
Partner with the New York Securities Operations team to ensure an environment of tight controls, regulatory compliance and continuous product and process education
Proactive management and timely escalation of emerging risks/issues