Associate, Reference Data & Controls

Associate, Reference Data & Controls

Job Level: Associate Job Function: Trade Operations Location: Charlotte, NC, US Employment Type: Full Time Role Description The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to provide operational support to the Fixed Income Securities business. This role is an extension of the broader New York based Securities Operations team. The role reports to the Head of Charlotte Operations. This position will be located in our Charlotte office. Work closely with Broadridge BPO to ensure accurate and timely setup of data requests Serve as primary contact for Broadridge BPO and SMBC stakeholders on matters of customer and static data Maintain static data related to counterparty contacts and payment instructions Assistance with projects/initiatives related to enhancing current processes and controls, including planning and implementation Work with Client Onboarding Team to comply with internal client data management Responsible for the creation and distribution of all confirms and statements (automated through Broadridge services) Preparation of metrics and other reports as required Partner with the New York Securities Operations team to ensure an environment of tight controls, regulatory compliance and continuous product and process education Proactive management and timely escalation of emerging risks/issues Qualifications and Skills Core Competencies/Skills : Excellent verbal and written communication skills with ability to articulate concepts and ideas to diverse audiences Strong organizational skills High level customer service mindset with a commitment to supporting key stakeholders Ability to work under pressure and deliver results within tight timelines Ability to identify and assess problems, determine the root cause and propose recommendations and/or solutions Ability to utilize independent judgement and decision making Ability to multitask and deliver high quality results in a fast-paced environment Qualifications: Minimum 5 years of experience in Financial Services 2+ years of experience working in client/static data management BA/BS preferably in Finance or Economics (Strong Preference) Proficiency in Bloomberg TOMS, DTCC Alert, FICC, Broadridge IMPACT, FIS Loanet Proficiency in Microsoft Office applications SMBC's employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required. SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at [email protected].