NAM Syndicate Middle Office & Operations Head
About The Position
The NAM Syndicate Operations Head leads Syndicate Operations staff supporting Debt Capital Markets (DCM), Equity Capital Markets (ECM), Markets Primary Issuance, and the Special Equity Transaction Group. Reporting to the Global Syndicate Operations Head, this role is the primary point of contact for Investment Banking and Markets Primary Issuance and partners with operational teams across the front-to-back lifecycle to provide seamless processes and service. The Syndicate Operations organization coordinates deal-pipeline logistics, including deal and account setup, trade management, and timely settlement. This Series 99 supervisory role oversees Deal and Trade Management, revenue recognition and deal final settlement, front-to-back controls, regulatory filings, and exception management. The position leads 18 Syndicate Middle Office and Settlements employees across Manhattan and Buffalo. The role is responsible for delivering an effective control framework that meets Audit, Compliance, and regulatory requirements; maintaining the integrity of operational processes; and leading daily operations with proactive risk monitoring and timely escalation. It also leads regional control and automation initiatives, executes the in-flight technology transformation and target operating model agenda, and assesses and evolves the control environment. The Head represents Operations with internal and external stakeholders, supports client discussions and relationship management, and develops staff through coaching, mentoring, feedback, and career-development support while fostering diversity, inclusion, and continuous improvement.
Requirements
- At least 10 years of experience in Tier 1 global financial institutions.
- Strong experience in Equity and/or Debt Markets Middle Office or Operations.
- Energetic, flexible, collaborative, and proactive leadership style.
- Ability to contribute product impact to strategic and tactical technology initiatives.
- Self-reliance and strong problem-solving ability.
- Results-oriented approach with strong risk-management and control awareness.
Nice To Haves
- FINRA Series 99 registration is preferred.
Responsibilities
- Lead Syndicate Operations staff supporting DCM, ECM, Markets Primary Issuance, and the Special Equity Transaction Group.
- Manage a diverse team of 18 Syndicate Middle Office and Settlements employees across Manhattan and Buffalo.
- Serve as the primary point of contact for Investment Banking and Markets Primary Issuance, coordinating with operational partners across the front-to-back process.
- Oversee deal-pipeline logistics, including deal and account setup, trade management, and timely settlement.
- Supervise covered functions spanning Deal and Trade Management, revenue recognition and deal final settlement, front-to-back controls, deal-related regulatory filings, and exception management.
- Deliver an effective control framework that meets Audit, Compliance, and regulatory requirements.
- Oversee daily core operations, monitor processes, risks, and controls, escalate potential risks promptly, and act as a senior escalation point.
- Lead regional control and automation initiatives that execute the target operating model, reduce operational touchpoints, and reduce processing and payment risk.
- Execute the in-flight strategic technology transformation agenda and assess and evolve the control environment.
- Identify innovative solutions and cost-saving opportunities, build effective client relationships, and facilitate and enable change.
- Represent ECM/DCM Operations with internal and external stakeholders and engage with senior Business, Technology, and Operations partners.
- Participate in client discussions and relationship-management activities as needed to support the business.
- Promote continuous improvement and a robust service and control environment.
- Coach and mentor staff, provide direction and feedback, and support career development through effective one-to-one discussions.
- Champion diversity and inclusion and foster a workplace where employees can thrive and excel.
Benefits
- Medical coverage
- Dental coverage
- Vision coverage
- 401(k)
- Life insurance
- Accident insurance
- Disability insurance
- Wellness programs
- Paid time off, including vacation and sick leave
- Paid holidays
- Discretionary and formulaic incentive and retention awards may be available to eligible employees
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
