Investment Operations Specialist

Investment Operations Specialist
110-126k
Hybrid in Charlotte, NC
We are seeking an Investment Operations Specialist with 4+ years of Investment Operations experience. The candidate needs to have expert knowledge of buy-in rules for domestic markets including DTCC, Fed and physical clearance. They will bring expert knowledge of DTCC Smart/TRACK system, OW, Settlement Web and FINRA.
Benefits
Start on 1st day
Medical, dental, vision
6% match on 401k, 4-16 weeks paid parental leave
144 hours up-front PTO, additional PTO afterward (accrued)
Variable bonuses, backup child care, tuition reimbursement
Commuter benefits, paid parking, more
Responsibilities
Monitor regulatory buy-in processes and action accordingly (204, Reg-T, MSRB)
Leverage buy-in processes to reduce fail obligations and firm risk (seg deficits)
Monitor CNS obligations and liabilities and liaise with Securities Lending to remediate short positions and fails to receive
Monitor Smart/TRACK system for buy-in notices from counterparties
Liaise with counterparties to remediate open buy-in obligations
Provide coverage for international buy-in obligations
Maintain firm policies and procedures relative to street buy-in practices
Manage client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issues
Lead or participate in moderately complex initiatives and deliverables
Contribute to large scale planning related to process, procedures and efficiencies with internal and industry related initiatives
Identify and recommend opportunities for process improvement and risk control development
Provide leadership to bring groups together to resolve multi-faceted complex issues
Serve as a leader on projects along with internal and industry related initiatives
Review and analyze complex functional and operational tasks that require in-depth evaluation
Exercise independent judgment and resolution to guide the deliverable
Resolve moderately complex issues
Lead team to meet functional area projects, and process deliverables
Leverage solid understanding of functions, policies, procedures and compliance requirements
Mentor and assist analysts
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Required
At least 4 years of Institutional Investment Operations experience
Desired
BS/BA degree in Finance or similar
3+ years of experience in the securities industry with emphasis on buy-in and international trade settlement
Expert knowledge of DTCC Smart/TRACK system, OW, Settlement Web and FINRA
Expert knowledge of buy-in rules for domestic markets including DTCC, Fed and physical clearance
Working knowledge of buy-in rules for international markets including Euroclear, Clearstream, Crest and various local markets
Working knowledge of Broadridge systems including GLOSS, Impact and BPS
Working knowledge of Prime Broker operations