Complex Securities Operations Analyst

GWP • Denver, CO

4d • Hybrid

About The Position

As a Complex Securities Analyst, you will be responsible for ensuring the seamless operation of OTC trade lifecycle processes across multiple asset classes and products. The team's remit includes Trade Affirmation & Capture, Settlement & Cashflows, Collateral & Margin and complex securities. As an analyst, you will ensure operational excellence, risk mitigation, and regulatory compliance, while fostering a collaborative and high-performing culture. You will act as a primary point of contact for internal and external stakeholders, including investment teams, brokers, custodians, and technology partners. Provide trade support for complex securities, including OTC derivatives and private placements. Ensure accurate and timely processing of trades, confirmations, settlements, collateral movements, and corporate actions. Provide timely resolution of inquiries related to OTC instruments from internal and external clients including traders, portfolio managers, custodians and counterparties. Coordinate with traders, brokers, custodians and internal teams for smooth processing. Identify, establish, and implement standard methodologies regarding trade operations. Collaborate with Operations Leadership to enhance the operating model, drive process improvements, and support strategic initiatives. Support and lead operational projects, including the design, testing, and implementation of new processes and system enhancements. Ensure compliance with internal policies and external regulations, representing the Trade Operations function in audits and regulatory reviews. Maintain strong relationships with internal and external stakeholders, acting as a key point of escalation for operational issues. Develop and maintain operational policies and procedures, ensuring best practice and continuous improvement. Perform additional duties as assigned.

Requirements

• Significant experience within OTC lifecycle processes, ideally covering confirmation, settlement, and collateral
• Experience with OTC operations systems such as MarkitSERV, Aladdin, SWIFT, Bloomberg, or comparable collateral management tool
• Proven experience managing and developing a team within a financial services or asset management environment
• Strong understanding of operational risk, control frameworks, and regulatory requirements
• Excellent relationship-building skills with the ability to work effectively across departments and with external partners
• Bachelor’s degree or equivalent work experience in a relevant field
• Strong management skills with the ability to inspire and motivate others, fostering a collaborative and high-performing team culture
• A strong sense of teamwork and a consistent focus on meeting client needs, ensuring exceptional service and satisfaction

Nice To Haves

• Demonstrated ability to identify and implement process enhancements to drive efficiency and mitigate risk
• Excellent written and verbal communication skills, enabling clear and effective interactions with stakeholders at all levels
• Ability to build effective relationships across all levels of the business, promoting trust and collaboration
• Known for being approachable and open-minded, creating an inclusive and supportive work environment
• Liaise with clients, brokers, and custodians to resolve any operational issues

Responsibilities

• Provide trade support for complex securities, including OTC derivatives and private placements
• Ensure accurate and timely processing of trades, confirmations, settlements, collateral movements, and corporate actions
• Provide timely resolution of inquiries related to OTC instruments from internal and external clients including traders, portfolio managers, custodians and counterparties
• Coordinate with traders, brokers, custodians and internal teams for smooth processing
• Identify, establish, and implement standard methodologies regarding trade operations
• Collaborate with Operations Leadership to enhance the operating model, drive process improvements, and support strategic initiatives
• Support and lead operational projects, including the design, testing, and implementation of new processes and system enhancements
• Ensure compliance with internal policies and external regulations, representing the Trade Operations function in audits and regulatory reviews
• Maintain strong relationships with internal and external stakeholders, acting as a key point of escalation for operational issues
• Develop and maintain operational policies and procedures, ensuring best practice and continuous improvement
• Perform additional duties as assigned

Benefits

• Hybrid working and reasonable accommodations
• Generous Holiday policies
• Paid volunteer time to step away from your desk and into the community
• Support to grow through professional development courses, tuition/qualification reimbursement and more
• Maternal/paternal leave benefits and family services
• Complimentary subscription to Headspace – the mindfulness app
• Corporate membership to ClassPass and other health and well-being benefits
• Unique employee events and programs including a 14er challenge
• Complimentary beverages, snacks and all employee Happy Hours
• Annual Bonus Opportunity
• competitive compensation
• pension/retirement plans
• various health, wellbeing and lifestyle benefits

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree