Job Purpose
Responsible for executing all activities related to trade capture operations across global markets, supporting all client segments while ensuring accuracy, timeliness, and compliance with industry standards.
Key Responsibilities
Efficiency & Productivity
- Retrieve trade details received electronically via ISO, SSCNET, and other trading platforms.
- Pre-verify trade information and perform repairs as required in internal systems.
- Input, authorize, and release manually received trades across multiple trade processing platforms.
- Liaise with client service teams, clients, or investment managers to resolve STP and regulatory issues.
- Research and process trade cancellations and corrections promptly, escalating to the appropriate teams.
- Identify and implement process improvements to enhance efficiency and accuracy.
- Manage multiple tasks simultaneously while meeting strict industry deadlines.
Risk Management & Compliance
- Maintain the highest professional and ethical standards.
- Ensure internal systems and records are updated accurately and on time.
- Adhere strictly to established policies, procedures, and risk controls.
- Ensure system access aligns with assigned role responsibilities.
- Support audit readiness and regulatory compliance requirements.
- Understand and participate in business continuity and disaster recovery testing.
- Apply sound judgment in managing risk to protect long-term client and business interests.
Client Service
- Act in the best interest of clients within the organization’s risk appetite.
- Work effectively under pressure while meeting tight deadlines.
- Ensure accuracy and timeliness when reviewing and authorizing client instructions.
- Proactively communicate regulatory requirements, industry standards, and potential risks to clients through service delivery teams.
- Collaborate with operations teams to resolve trade instruction and automation issues.
- Identify manual or fax-based processes for potential automation.
Teamwork & Collaboration
- Foster a respectful, collaborative, and ethical work environment.
- Support team members during high-volume periods or staffing shortages.
- Participate in cross-training initiatives to ensure adequate coverage.
- Share knowledge and client exceptions to ensure seamless desk coverage.
- Support and adapt to new initiatives, process changes, and transformation efforts.
Leadership / Mentorship
- Act as a lead hand within the team by mentoring and supporting new hires and junior team members.
Qualifications & Experience
Experience:
- 2–4 years of experience in trade processing or trade operations.
Required Skills & Knowledge:
- Strong understanding of trade processing principles.
- Excellent analytical, attention-to-detail, and problem-solving skills.
- Strong written and verbal communication abilities.
- Advanced computer skills, including Microsoft Office applications.
- Ability to work under pressure, meet strict deadlines, and multitask effectively.
- Strong team-oriented mindset.
Education & Certifications:
- Required: Post-secondary education or equivalent work experience.
- Preferred: Canadian Securities Course (CSC).
Budget & Decision-Making Authority
- Resolve complex and non-standard client issues independently.
- Escalate higher-risk issues involving significant financial or reputational impact to senior management.
- Authorized to make judgment-based goodwill decisions (e.g., apology letters, cost-sharing for errors) within defined limits, with higher amounts reviewed by management.
Key Stakeholder Relationships
- Client Operations / Service Delivery (Internal)
- Data Management Teams (Internal)
- Settlement and Processing Teams (Internal)
- Transformation and Change Partners (External, as applicable)
