Capital Markets Operations Manager
Listed on 2026-10-19
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Finance & Banking
Banking & Finance, Financial Compliance, Capital Markets, Banking Operations
An established financial services firm is seeking a senior Operations professional to oversee the full trade lifecycle across global and domestic markets. This individual will serve as a key liaison between clients, counter parties, and internal teams, ensuring accurate trade processing, timely settlement, operational risk oversight, and an exceptional client experience. The role also provides leadership on process improvement initiatives, system enhancements, and team development.
Key ResponsibilitiesManage end-to-end client onboarding, including account setup, maintenance of client reference data, settlement instructions, commission details, and regulatory classifications.
Oversee the full trade lifecycle across multiple asset classes, including trade booking, allocation, matching, confirmation, and settlement through electronic and manual workflows.
Resolve trade and settlement exceptions, including breaks, fails, unmatched trades, cash discrepancies, corporate actions, penalties, buy-ins, and standing settlement instruction issues.
Perform daily reconciliations and control functions to ensure accurate trade capture, position integrity, and downstream processing.
Support regulatory reporting requirements and maintain adherence to internal controls, governance standards, and operational procedures.
Lead operational projects, system implementations, UAT testing, and process improvement initiatives designed to enhance efficiency and reduce risk.
Serve as a primary point of contact for clients, counter parties, auditors, and internal stakeholders, providing high-quality support and issue resolution.
Produce audit documentation, respond to regulatory inquiries, and ensure all operational activities remain compliant with applicable requirements.
Mentor and develop junior team members while contributing to a collaborative, high-performing operations environment.
Qualifications7+ years of trade operations experience within asset management, hedge funds, broker-dealers, or institutional investment environments.
Series 7 or 99 Required
Strong knowledge of the trade lifecycle, settlement processes, reconciliations, and post-trade operations across global markets.
Experience supporting equities, fixed income, and other institutional products.
Familiarity with trade matching and settlement platforms, including CTM, FIX workflows, and electronic trading infrastructure.
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