Syndicate Middle Office and Operations Lead Vice President
About The Position
Understand the execution and settlement of New Issues within the DCM and ECM scope, from pre pricing through post-closing with the Syndicate Preform a deep-rooted analysis of daily functions and recommend automation or procedural enhancements to the entire deal lifecycle Liaise with key partners and stakeholders (Banker/Underwriters/Technology/Controls/Back Office etc) to understand pain points and align business goals with operational Develop, implement and track appropriate KPIs (key performance indicator), SLAs (service level agreement) and metrics (deals priced/closed, volume, settlement rate etc) for the senior oversight Review and uplift policies and procedures (SOPs) on a continuous basis Product knowledge of Equity, Special Equity, and Fixed Income products Oversee deal related controls, including but not limited to deal accounting and compliance Operate in a high volume, high visibility (and high risk) environment Conduct meetings with front to back stakeholders with the ability to articulate processes in depth while having a forward looking, critical thinking, and controlled approach Advise and coach personnel Provide back up support to team members within the Middle Office and Operations space as needed Knowledge of SETG execution and Global Markets (APAC/EMEA) a plus Subject matter expert in at least one area of deal flow (Orderbook Indication and allocation. UW Source/Euroclear; Final Settlement) Advanced knowledge of Regulatory rules in accordance with New Issues; FINRA/TRACE/5131/QIB/Reg M/S etc Self-starter who consistently demonstrates clear and concise written and verbal communication skills
Requirements
- Product knowledge of Equity, Special Equity, and Fixed Income products
- Operate in a high volume, high visibility (and high risk) environment
- Ability to articulate processes in depth while having a forward looking, critical thinking, and controlled approach
- Self-starter who consistently demonstrates clear and concise written and verbal communication skills
Nice To Haves
- Knowledge of SETG execution and Global Markets (APAC/EMEA)
Responsibilities
- Execution and settlement of New Issues within the DCM and ECM scope
- Perform analysis of daily functions and recommend automation or procedural enhancements
- Liaise with key partners and stakeholders to understand pain points and align business goals
- Develop, implement and track KPIs, SLAs and metrics for senior oversight
- Review and uplift policies and procedures (SOPs) on a continuous basis
- Oversee deal related controls, including deal accounting and compliance
- Conduct meetings with stakeholders and articulate processes in depth
- Advise and coach personnel
- Provide back up support to team members
- Subject matter expert in at least one area of deal flow
- Advanced knowledge of Regulatory rules in accordance with New Issues
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
Number of Employees
5,001-10,000 employees
