Manage daily equity and securities settlement, remittance, corporate actions, reconciliations, liquidity, operational risk, and client share transfers. Liaise with clients, counterparties, finance, compliance, customer service, and marketing teams. Maintain AML and KYC processes, test controls, improve procedures, support regulatory changes, participate in system enhancements, and execute UAT. The role requires financial operations experience, knowledge of ASIC and AUSTRAC regulations, analytical problem-solving skills, and proficiency with Microsoft Office tools.
Job Description:
The Operations Associate will manage day-to-day operations, including overseeing the settlement process, monitoring operational risks, and contributing to the Operations team of our Australian business. Key responsibilities include:
- Oversight of daily securities settlement and remittance operations, encompassing FX and stock settlement to ensure the accurate and timely execution of all instructions.
- Facilitating client shares transfer process.
- Managing Corporate Actions, both domestically and internationally.
- Vigilantly monitoring operational and risk metrics, promptly escalating potential issues or anomalies.
- Collaborating with customer service and marketing teams to enhance customer experiences.
- Skilfully managing liquidity and minimizing risk in coordination with the finance team.
- Identifying and implementing initiatives to enhance operational processes and reduce risk.
- Close collaboration with compliance teams to maintain a robust AML and KYC program.
- Testing controls to guarantee customers receive exceptional execution quality with venues.
- Formulating, reviewing, and enhancing operational procedures and workflows in response to regulatory changes and business conditions.
- Daily reconciliation of client/exchange/broker trades and positions, along with preparation of daily funding requirements.
- Liaising with clients and counterparties to address settlement issues and resolve discrepancies.
- Active participation in projects and implementation of new business/system enhancements.
- Planning and executing system User Acceptance Testing (UAT).
Requirements
- Minimum 5 years of experience in Operations/Settlement/Remittance gained in financial or brokerage firms, or crypto related context is highly desired;
- Degree holder in Finance, Accounting or related disciplines:
- Sound knowledge of the relevant rules and regulations of ASIC and AUSTRAC;
- Self-motivated, with a good analytical mindset and ability to work under pressure;
- Excellent presentation and problem solving skills;
- Proficient in Excel, Access and Microsoft Office Suite.
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