Company
Financial Services
BrokingOperationsLead
Neural analysis suggests this role is
optimal for Lead candidates.
“Broking Operations Lead. Skills: Broking Operations, Trade Settlement, Regulatory Compliance, Risk Management. Support day-to-day processing. Support day-to-day reviewing”
What You'll Achieve.
Meet expectations; Mitigate risks; Maintain operational efficiency; Deliver to consistently excellent standard; Deliver high-quality outcomes
Industry & Context.
Issue resolution; Problem-solving; Resolve problems; Identify solutions; Select solutions; Problem Solving; Decision Making
What They're Looking For.
Must Have
Graduate or Postgraduate degree, Minimum 10 years of experience in Broking Operations, knowledge of trade settlement, clearing operations, depository operations, securities processing, Sound understanding of SEBI regulations, exchange-prescribed guidelines for stock broking firms, Experience managing operational risk, margin monitoring, settlement processes, communication and stakeholder management skills, Proficiency in Microsoft Excel, Word, Access, Ability to handle high volumes, work effectively under pressure, attention to detail, discipline, operational control mindset
Nice to Have
Experience in business process design, process re-engineering, operational transformation initiatives, understanding of operational risks, control frameworks, mitigation strategies, Experience implementing automation, process efficiency solutions, Demonstrated ability to manage multiple priorities, deliver high-quality outcomes, focus on excellence, resilience, continuous improvement, Knowledge of financial crime risk, governance frameworks, regulatory compliance requirements
What You'll Do.
Support day-to-day processing
Support day-to-day reviewing
Support day-to-day reporting
Support day-to-day issue resolution
Support Private Bank initiatives
Support Wealth Management initiatives
Support account processing
Support product processing
Support services processing
Support client relations management
Identify client needs
Provide service meeting expectations
Collaborate with teams across the bank
Align Private Bank processes
Integrate Private Bank processes
Align Wealth Management processes
Integrate Wealth Management processes
Identify areas for improvement
Provide recommendations for change
Develop Private Bank procedures
Implement Private Bank procedures
Develop Private Bank controls
Implement Private Bank controls
Develop Wealth Management procedures
Implement Wealth Management procedures
Develop Wealth Management controls
Implement Wealth Management controls
Develop reports on performance
Develop presentations on performance
Communicate findings to stakeholders
Identify industry trends
Identify industry developments
Implement best practice
Participate in projects
Participate in initiatives
Improve Private Bank efficiency
Improve Private Bank effectiveness
Improve Wealth Management efficiency
Improve Wealth Management effectiveness
Perform prescribed activities
Drive continuous improvement
Lead and supervise a team
Guide professional development
Support professional development
Allocate work requirements
Coordinate team resources
Create environment for colleagues to thrive
Deliver to excellent standard
Develop technical expertise
Impact work of related teams
Partner with other functions
Partner with business areas
Take responsibility for end results
Escalate breaches of policies
Escalate breaches of procedure
Take responsibility for embedding new policies
Take responsibility for embedding new procedures
Advise decision making
Influence decision making
Take ownership for managing risk
Take ownership for strengthening controls
Deliver work in line with rules
Deliver work in line with regulation
Deliver work in line with codes of conduct
Maintain understanding of sub-function integration
Build understanding of organisation products
Build understanding of organisation services
Build understanding of organisation processes
Demonstrate understanding of area coordination
Contribute to achievement of objectives
Make evaluative judgements
Apply technical experience
Persuade team members
Communicate complex information
Communicate sensitive information
Act as contact point for stakeholders
Build network of contacts
Lead and manage Broking Operations team
Manage trade processing activities
Manage trade settlement activities
Oversee operational risk management
Monitor position limits
Monitor margin utilization
Ensure adequate margin availability
Coordinate with Front Office teams
Coordinate with client custodians
Coordinate with exchanges
Coordinate with overseas desks
Manage trade settlement
Manage exchange reporting
Manage security settlements
Ensure adherence to regulatory requirements
Respond to regulator queries
Support regulatory reporting submissions
Drive process excellence
Drive automation initiatives
Drive operational efficiency initiatives
Drive scalable solutions
Identify gaps in regulatory adherence
Identify gaps in procedural adherence
Escalate issues appropriately
Manage operational risk events
Track issue remediation
Foster high-performance culture
Develop colleague skills
Cross-train colleagues
How You'll Work.
Team & Collaboration
Collaboration with teams; Align and integrate processes; Partner with other functions; Partner with business areas; Coordinate with Front Office; Coordinate with client custodians; Coordinate with exchanges; Coordinate with overseas desks; Stakeholder management
Communication Scope
Communicate findings; Communicate complex information; Communicate sensitive information; Stakeholder management; Communication skills
Process & Methodology
Projects, Initiatives
Full Job Description
# **Job Description** **Purpose of the role** To support PBWM with day-to-day processing, reviewing, reporting, and issue resolution. **Accountabilities** * Support with day-to-day Private Bank and Wealth Management initiatives including processing, reviewing, reporting, and issue resolution with regards to accounts, products and services. * Support the management of the banks client relations to clearly identify their needs and provide a service that meets expectations. * Collaboration with teams across the bank to align and integrate Private Bank and Wealth Management processes. * Identification of areas for improvement and providing recommendations for change in Private Bank and Wealth Management processes. * Development and implementation of Private Bank and Wealth Management procedures and controls to mitigate risks and maintain operational efficiency. * Development of reports and presentations on Private Bank and Wealth Management performance and communicate findings to internal senior stakeholders. * Identification of industry trends and developments to implement best practice in Private Bank and Wealth Management Services. * Participation in projects and initiatives to improve Private Bank and Wealth Management efficiency and effectiveness. **Analyst Expectations** * To perform prescribed activities in a timely manner and to a high standard consistently driving continuous improvement. * Requires in-depth technical knowledge and experience in their assigned area of expertise * Thorough understanding of the underlying principles and concepts within the area of expertise * They lead and supervise a team, guiding and supporting professional development, allocating work requirements and coordinating team resources. * If the position has leadership responsibilities, People Leaders are expected to demonstrate a clear set of leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard. The four LEAD behavio
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