Associate - Client Onboarding & Regulatory Data Services

We’re seeking someone to join our team as an Associate in Client Onboarding and Regulatory Data Services to support the control aspects and vendor oversight in the initiation and ongoing support of client accounts, related client information, associated settlement instructions and various projects supporting this business.

In the Operations division, we partner with business units across the Firm to support financial transactions, devise and implement effective controls and develop client relationships. This is an Associate level position level position within the Core Services, which is responsible for performing and managing product-agnostic and centralized operational services across several businesses and products.

Client Onboarding and Regulatory Data Services (CORDS) delivers industry utility solutions by aligning the right functions, people, processes and tools into multiple core disciplines offering tailored client service levels that are efficient, controlled and compliant with regulation.

Institutional Reference Data Services is a Control Team within the CORDS organization which primarily supports the control aspects and vendor oversight in the initiation and ongoing support of client accounts, related client information, associated settlement instructions and various projects supporting this business. Supported businesses include Listed Derivatives, Equity and Fixed Income cash products, Prime Brokerage, FX and non-cash products such as derivatives.

As an Institutional Reference Data Services team member, you will play a critical and active role in the day-to-day operations. This is an excellent opportunity to be one of the key members of our North America control team and position yourself for future career growth opportunities. You will provide first class level of support by reviewing, authorizing, and ensuring the proper and timely setup of accounts, maintenance of accounts, and settlement instructions completed by a vendor.

You will also be responsible for ad hoc requests, updating and authorizing Firm instructions, special projects as needed, UAT testing of enhancements, and on boarding new processes as required.

Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…

• Execute processes/functions and/or support process management and project efforts, leveraging knowledge of the systems, markets and instruments that influence the team

• Recognize risk in day-to-day processes to draw out the key issues and contribute to process improvements

• Build relationships within team and internal stakeholders, sharing knowledge to contribute to team output

• Participate in projects and initiatives, aiding in solution formulation with a focus on timely execution

• Provide first class level of support by reviewing, authorizing, and ensuring the proper and timely setup of accounts, maintenance of accounts, and settlement instructions completed by a vendor

• Responsible for ad hoc requests, updating and authorizing Firm instructions, special projects as needed, UAT testing of enhancements, and on boarding new processes as required.

• Ability to establish clear goals and priorities, and address non-standard issues within area of expertise with minimal guidance and supervision

• Subject matter expertise in business area supported, client requirements, and ability to ensure control is not compromised to comply with client requests

• Culture carrier across Operations, embracing the Firm's core values

• Ability to handle volume spikes and prioritize work including ad-hoc requests and projects to meet business demands in a timely manner

• Self-driven, capable of performing day-to-day activities with minimal guidance and supervision

• Ability to recognize potential risk issues and elevate/report on a timely basis.

• At least 2 years' relevant experience would generally be expected to find the skills required for this role

• Proficiency in MS Office (Excel, PowerPoint, and Word)

Role is Hybrid and will require in office attendance 3 days/week.

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