The Sec & Derivatives Mgr is an intermediate management level position responsible for providing full leadership and direction to a team of employees in an effort to process orders and transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Services team. The overall objective of this role is to ensure the seamless delivery of securities and derivatives transactions.
Execute securities transaction processing related to Securities Clearance Settlement and Derivative Operations
Formulate procedures, techniques and contribute to the development of new techniques that increase team productivity, ensuring entire team meets or exceeds performance goals
Serve as an analytical and procedural expert, and as first point of escalation for staff members, management and internal/external clients
Escalate control gaps and issues to senior management as needed
Identify control gaps during settlement cycle and implements appropriate solutions to mitigate any risk or control losses
Analyze data to identify control deficiencies and resolve discovered issues through implementing appropriate procedures
Act as an advisor to new/junior staff
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.
5-8 years of relevant experience
Required licensing/registration: Series 7, Series 9, Series 10, Series 63
Experience in a securities transactions processing role
In-depth knowledge of settlement cycle concepts and procedures to resolve settlement issues
Previous people management experience
Consistently demonstrates clear and concise written and verbal communication skills
Bachelor’s Degree/University degree or equivalent experience
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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