Sanctions, Confirmations & R&C - C09 - MUMBAI

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Job Overview

The Securities & Derivative Analyst 1 is an entry-level role within Market Operations, primarily responsible for supporting the screening of financial transactions and their associated documentation and additionally support Confirmations process to send deal confirmations to clients and ensure timely receipt and complete signature validation; This would also involve client follow-ups to receive documentation within timelines and involves day to day interaction with front office, business, legal and operations teams. This includes transactions across various product lines such as Corporate FX, Derivatives, Interbank, Fixed Income, and Money Market instruments. Additionally support monitoring & submission of key controls metrics across ops.

Transaction Screening :

• Execute and support the screening of a diverse range of financial transactions, including Corporate FX, Derivatives, Interbank, Fixed Income, and Money Market products, to identify potential risks or non-compliance.
• Understanding of global sanction screening guidelines and internal procedures for alert disposition.
• Actively participate in the disposition handling process for alerts generated during transaction screening, ensuring timely and accurate resolution.
• Collaborate closely with Sanctions ICRM, Operations, and relevant Business units to investigate and resolve complex alerts, escalating issues as necessary.
• Daily execution of confirmations to clients / receipt of confirmations, client signature validation and timely status updates on systems.
• Regular follow ups with client for outstanding confirmations, interaction with business/operations on the day-to-day client queries or on the confirmation templates.
• Monitoring the daily controls and end of checks to ensure smooth processing and

Risk & Control:

• Support the ongoing monitoring of risk and control Key Risk Indicators (KRIs) within Market Operations.
• Ensure that relevant status updates regarding KRIs are accurately prepared and shared with respective process owners.
• Assist in the timely gathering and centralized submission of information pertaining to manual payment volumes, non-EERS reviews, training status.
• Actively track and report control lapses or delays in the submission of data related to control activities, ensuring prompt escalation to appropriate management.

Qualifications:

• 1-2 years of experience in financial services, preferably with exposure to risk and control activities, compliance, or operations.
• Fundamental understanding of Treasury products, accounting, and regulatory policies
• Ability to juggle between tasks and communicate with multiple stakeholders
• Demonstrated ability to analyze complex information, identify discrepancies, and apply critical thinking to problem-solving.
• Consistently demonstrates clear and concise written and verbal communication skills
• Good in Microsoft Excel for data analysis and reporting.

Education:

• Bachelor’s Degree/University degree or equivalent experience in Business, Accounting or Finance

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

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Job Family Group:

Operations - Transaction Services

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Job Family:

Securities and Derivatives Processing

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Time Type:

Full time

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Most Relevant Skills

Please see the requirements listed above.

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Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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