Vice President - Stock Record Transformation Lead (Market Operations)

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Job Overview

Role Overview

We are seeking an experienced Stock Record Transformation Lead to drive strategic remediation, operating model enhancement, and control modernization across the stock record environment within Market Operations.

This role will lead large-scale initiatives including stock record accuracy, reconciliation governance, books & records integrity, control framework effectiveness, and regulatory compliance. The candidate is expected to bring deep domain expertise in stock record operations along with industry best practices from leading financial institutions.

The individual will partner closely with teams within Market Operations, Technology, Finance, Risk, Compliance, Regulatory Reporting, and Front Office stakeholders to identify gaps, design scalable solutions, and establish a robust target-state operating model.

Key Responsibilities

Strategic Leadership

• Lead end-to-end stock record transformation and other strategic initiatives across equities, fixed income, financing, and related products.
• Define and implement target operating model for stock record governance and control framework as well as contribute to shape overall tech strategy
• Drive remediation of stock record breaks, reconciliation gaps, timing differences, and feed integrity issues.
• Establish sustainable governance, escalation, and oversight processes.

Stock Record Expertise

• Provide subject matter expertise on:
  • Stock record lifecycle
  • Securities movements
  • Settlements & Fails management
  • Stock borrow & loan
  • Repo / reverse repo impacts
  • Corporate actions impact on stock record
  • Omnibus and segregated positions
  • Location and custody breaks
• Assess operational and regulatory risks impacting books and records integrity.

Controls & Reconciliations

• Review current reconciliation landscape and identify coverage gaps.
• Design preventive and detective controls for:
  • Missing or incorrect system feeds
  • Position breaks
  • Timing discrepancies
  • Manual adjustments
  • Unsupported reconciliations
• Drive control standardization and implementation of best-in-class reconciliation practices.

Stakeholder Management

• Lead workshops and deep-dive sessions with Operations and Technology teams.
• Challenge existing processes constructively and influence senior stakeholders.
• Translate complex operational issues into strategic remediation plans for executive leadership.

Transformation & Automation

• Partner with Technology teams to improve stock record architecture and data quality controls.
• Support implementation of automation and AI-enabled reconciliation capabilities.
• Introduce industry benchmarks and best practices for scalable operational design.

Required Qualifications

• 12 years of experience within Market Operations, Securities Operations, Books & Records, or Stock Record environments.
• Strong understanding of securities processing and stock record controls.
• Experience leading large transformation or remediation programs within global financial institutions.
• Deep knowledge of reconciliation frameworks, exception management, and operational risk.
• Experience interacting with regulators, audit, compliance, and risk functions.
• Strong analytical, communication, and stakeholder management skills.
• Ability to operate effectively in high-pressure regulatory and control environments.

Preferred Qualifications

• Experience in regulatory remediation or consent order environments.
• Familiarity with Rule 17a-3 / 17a-5 / 17a-13 related books & records expectations.
• Experience with reconciliation platforms such as SmartStream TLM or similar tools.
• Knowledge of automation, AI-assisted operations, and data governance frameworks.
• Consulting or industry benchmarking experience preferred.

Additional requirements - Storytelling, PowerPoint & Presentation Excellence

• Create high-quality presentations with clear articulation/ story telling for senior management
• Translate complex financial data into clear visual storytelling
• Design clean, professional slides using proper color palettes, alignment, and layouts
• Convert raw data into charts, infographics, and executive summaries
• Improve existing presentations to meet corporate standards
• Hands on expertise on POWER BI, Alteryx & other dashboard tools will be added advantage

Ideal Candidate Profile

The ideal candidate combines deep operational expertise in stock record management with strategic transformation leadership. They should be capable of independently assessing control weaknesses, bringing external best practices, and influencing senior stakeholders to drive meaningful operational and regulatory improvements.

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Job Family Group:

Risk Management

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Job Family:

Market Risk

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Time Type:

Full time

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Most Relevant Skills

Analytical Thinking, Credible Challenge, Data Analysis, Governance, Industry Knowledge, Policy and Procedure, Policy and Regulation, Product Knowledge, Risk Controls and Monitors, Risk Identification and Assessment.

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Other Relevant Skills

Laws and Regulations, Referral and Escalation, Risk Remediation.

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