15 Equities Jobs

Being a self-starter is essential Strong negotiation and relationship skills to bring Engineering and Business project sponsors and stakeholders to the table to build complex solutions while balancing competing priorities Manage team of individuals involved in investigating and resolving product & pricing data exceptions and maintaining product data. Proactively solve data quality issues from both tactical and strategic perspectives Proactively work with market data and external vendors (e.g. Bloomberg, Reuters, S&P, etc..) to ensure we have the highest quality data in our systems The product & pricing team covers data related to: Equities: Common Stock, Preferred Stock, Rights, Warrants, Exchange traded funds, ADRs, GDRs Fixed income bonds: Corporate, Government, Agency, Emerging Market, Convertible, Structured notes Listed derivatives: Options, Future Options, Option Baskets, Flex Options, Futures, Flex Futures Other products: Mutual Funds, Indices, Baskets, Fiduciary Notes, Credit Indices BASIC QUALIFICATIONS Highly motivated Risk based judgement reviews problems and can research appropriately across systems to determine next steps including appropriate escalation Communication of ambiguous concepts – demonstrated ability to describe complex concepts across groups that do not always use the same jargon General communication – essential for interacting at all levels, across business disciplines and regions Workflow Prioritization – demonstrated ability to appropriately prioritize a diverse set of work tasks, takes ownership of completing tasks and works well under pressure to meet deadlines Technical ability – demonstrates ability to grasp complex processes and workflows Teamwork – works well within a team of diverse individuals and high standard of execution and delivery towards common goals and objectives Client service – demonstrates effective management of internal stakeholders and/or external clients through effective relationship management and high standard of service

business analyst in investment banking, commercial banking or asset/investment management. financial instruments, capital markets & banking products.AI/ML concepts, cross-functional teams, Excel, SQL, Power BI, Tableau, stakeholder management.

Department General Counsel Shared Services Reports To Senior Manager - Portfolio Compliance Monitoring Level 5 General Counsel General Counsel (GC) is a trusted advisor to all parts of FIL, providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management General Counsel Shared Services: The General Counsel Shared services function is a global centre of expertise currently being built out in Dalian and India. It will provide operational support and services to the General Counsel function. Three key verticals of GC shared services are:- Reporting and Systems - Central hub in GC for all reporting and systems related activities. Operations - This is bouquet of various service offering for GC like Training Admin, support in Europe compliance, information barriers, legal and co sec ops. Investment Compliance - Compliance team in India provides effective monitoring of FILs funds to ensure compliance with funds mandates and regulatory rules in verticals like Portfolio compliance Monitoring, Investment Management Compliance Advisory and Investment Management Compliance Monitoring. Portfolio Compliance Monitoring: The Portfolio Monitoring team is a global function is part of FILs Global Investment Compliance and Monitoring department, with teams present in Hong Kong, London and Gurgaon. The team is primarily responsible for performing End of Day (EOD) portfolio compliance monitoring for all retail and institutional products globally managed by FIL as well as coding portfolio restrictions and investment guidelines in compliance monitoring system. The Portfolio Monitoring team also provides compliance guidance and support to FILs investment professionals, including Portfolio Managers across all asset classes, Portfolio Support Groups, Investment Risk and Portfolio Analytics teams. In relation to its portfolio compliance monitoring responsibilities, the team also engages with FILs institutional services and product management teams and other support functions, including local compliance officers, legal and investment services globally. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelitys Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role You will be playing a key role within the team with respect to the launch of new investment products, take-on process for new mandates and amendments of existing investment guidelines by communicating with various colleagues within investment compliance as well as externally, on the suitability of the investment restrictions and ensuring that investment restrictions are accurately coded in the Charles River compliance system. Key Responsibilities Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus investment mandate and extracting compliance restrictions to ensure guidelines and restrictions are effectively coded into compliance systems for ongoing monitoring of funds/accounts guidelines; Perform the review of regulatory and client guidelines to ensure accuracy and efficiency of existing rules coded; Regular Rule maintenance on compliance system i.e. CRD; Conduct Account Mapping Review viz a viz applicable rule; Continuously improve compliance monitoring of guidelines and regulatory rules by assisting with compliance rule testing, new rule development, improving the automated monitoring of rule and ensuring rules are working as intended; Liaison with the broader Investment Compliance colleagues globally to ensure that investment restrictions coded on the compliance system are correctly interpreted; this may require discussions with Client Services, Relationship Directors, Legal and Product teams; Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls in coding rules; Research ad-hoc queries from compliance reporting team to determine if client portfolio is in line with the investment guidelines; Assist in resolving queries with regional compliance teams; Assist with ongoing review of relevant processes and procedures to ensure best practice; Assist in a range of FIL-wide projects or tasks; Assist with ad-hoc compliance monitoring tasks, as required. Experience and Qualifications Required Experience in Investment compliance guideline rule coding in Charles River is a must; Good understanding of Charles River system workflows and parameters; Must have knowledge of data set up in Charles River from vendors such as Bloomberg, Factset and ESG; Technology Savvy with experience in writing high quality, readable, reusable, testable code; Experience with regulatory environments such as UCITS, SFC, FCA and SEC would be an added advantage; Strong understanding of portfolio monitoring processes, including the interpretation of client investment management agreements; 9+ years of experience in working in the investment management industry (preferably in investment compliance) and of investment products; Good instrument knowledge of equities, fixed income and derivatives; Must have understanding of ESG guidelines and frameworks; Be a strategic thinker, possess strong facilitation and data gathering skills; Effective problem solver, attention to detail and ability to work to tight deadlines under pressure; CFA or Bachelor of Business or Commerce preferred; Business-level verbal and written English communication presentation skills; Positive team player as well as the ability to work on their own initiative; Strong self-motivation, organisation, prioritisation, time management, used to adapting to unforeseen changes.

Commerce Graduate and/or MBA (Financial and/or Banking) Financial markets, products services Strong analytical skills, specifically analyzing financial records providing detailed technical commentary Proficiency in MS Office Required Candidate profile FINRA SIE, Series 6 or 7 Certification in Indian Stock Market courses (General Securities, Mutual Funds similar courses Canadian Securities Course or equivalent Exp RRSP, RSP, IRA, 401k and offerings Perks and benefits Perks and Benefits

We are seeking a results-oriented Branch Manager to lead our Chennai branch. The ideal candidate will be responsible for driving revenue growth, overseeing daily operations, managing a high-performing team, & ensuring exceptional client service Required Candidate profile Minimum 5 years of experience in the equity & broking industry. At least 2 Yrs in a managerial position Strong client servicing & relationship management skills Ability to meet revenue targets NISM

Hiring Capital Markets Murex with experience range 3 to 8Years of experience Skills: Equities, Interest Rate Derivatives, FX Trading, mutual funds, Trading platforms, pricing measures, accounting events, FX, Credit, Interest Rates, Equities, Commodities, MX Test Tool, Murex FO/BO, Calipso, Datamart, UAT Education: Btech/BE, BCA/MCA,Bsc/MSc

Will manage Financial Accounting teams with a focus on Fund Accounting & recon processes. Will oversee a range of products including Equities, Fixed Income, Derivatives & NAV, ensuring compliance with SLA & custodian & accounting standards. Required Candidate profile Min of 15-18 yrs of exp in managing FA teams with 10 -12 yrs relevant exp in Fund Accounting & recon process. Exp in managing a team of 40-90 FTE's. Exp in global stakeholder management

This is a contractual role : Match the Derivatives trades like Futures, Swaps, and Options and raise discrepancies with appropriate internal parties and brokers. Should have knowledge on Variation Margin calculation for Futures and SWAPs. Should have knowledge on SWIFT payments. Research on discrepancies with trading desks, custodians and brokers to facilitate timely and accurate settlement of trades. Match the margins with brokers and facilitate movement of margin between broker and custodians. Support Collaterathe l Management process by matching the collaterals with broker and report excess/deficit collateral. Validating ETD Derivatives cash and positions Report and track fail trades with broker, custodian and communicate to appropriate Internal teams. Proactively contribute ideas and participate in continuous improvement initiatives Process manual trades in Accounting systems as required knowRole & responsibilities Sound knowledge of investment products globally is required Knowledge of Derivative Instruments and EQ/FI Trade Life Cycle Must have a working knowledge of 2-5 years of experience in Investment Industry A good understanding of the Derivatives Products (Futures, Swaps, Options) and the confirmation and settlement processes for these instruments

Job Summary: We are looking for an experienced FX Reconciliation Specialist to manage trade reconciliations, settlements, and cash management/Treasury management. The role involves handling FX, OTC Derivatives, Equities, Fixed Income, and SWIFT Payments , ensuring smooth trade lifecycle management, exception handling, and BAU operations. Key Responsibilities: Perform FX trade reconciliations and resolve breaks. Manage trade settlements for FX, Equities, and Fixed Income. Experienced in Cash Management/Treasury management. Process SWIFT payments and resolve discrepancies. Ensure compliance with financial regulations and risk frameworks. Improve processes through automation and system enhancements. Key Skills & Qualifications: Experience in FX Reconciliation, Trade Settlements, Cash management operations. Knowledge of OTC Derivatives, Equities, Fixed Income, SWIFT Payments . Strong analytical, problem-solving, and stakeholder management skills. Proficiency in Excel, reconciliation tools, and trade booking systems .

The candidate will join Middle Office team and will be closely working with Client Service Managers based in Middle East/Europe/Singapore/US regions in connection with the performance of duties related to the Middle Office Trade confirmation and Settlement process. Candidate should possess a good understanding about Capital Market, Derivatives, Corporate Actions, and Hedge/Mutual Funds. Good knowledge in Financial Products is required. Reporting The position reports to AVP Middle Office Responsibilities Working as a member of the Trade Processing team that includes trade capture, Matching settlement of Securities, FX and Money market instruments. Process Global Security transactions on Calypso platform within given deadlines Interact with both internal and external stake holders to resolve trade confirmation and settlement queries Monitoring of transactions to confirm instructions from the client are processed in a timely and accurate manner thus ensuring timely settlement and accounting Ensure that all trades are matched within market/client deadlines Ensure client positions are correct and all transactions are processed Query resolution in accordance with time frames set out in Client SLA s Work with the Custodians and brokers for timely matching and settlement. Reporting of exceptions in line with internal control and external client requirements. Resolve failed trade queries proactively. Escalating exceptions and failed transaction to appropriate stake holders for early resolution. Ensure all errors/break down of procedure are documented as per company policy Extensive communication with Internal External parties. Skills Required Thorough understanding of all Capital market, Financial Instruments, Investment baking processes and above average accounting skills Proficient in Microsoft Office Applications and strong MS Excel skills required. Strong analytical skills, detail orientation, service commitment, solid organizational and interpersonal skills. Capacity to deal with high volumes of activity Strong Written and verbal communication skills Dedication to work as team and deliver timely results Candidates should be willing and flexible to work in any shifts Qualification and Experience: Post graduate in Commerce, MBA Finance, CA/CMA/CFA 5-8 Years of Hedge/Mutual funds Middle Office Trade Support experience. What you will get in return A genuinely unique opportunity to be part of an expanding large global business Exposure to all aspects of the business, cross-jurisdiction and to working with senior management directly

Main Responsibilities: Asset administration:Responsibilities include, but are not limited to performing and coordinating a variety of administrative duties and tasks including Asset setup Asset Maintenance and reconciliation Liaising with 3rd party brokers/custodians/agents Processing agent notices Processing corporate actions Entering and settling trades as required Preparing and assisting with various reports required by internal teams Other duties assigned by Management Cash/Position Reconciliation:Responsibilities include, but are not limited to performing and coordinating a variety of reconciliation duties and tasks including Preparing daily reconciliation of cash transactions Preparing daily reconciliation of Apex/Client positions Ensuring aged breaks ( over 7 days ) are addressed and escalated Processing and reconciling data in various systems Actively researching discrepancies with various agents and internal teams Preparing and ensuring all Reporting is issued within the required timeframes Preparing and assisting with various reports required by internal teams Other duties assigned by Management Support Middle Office Manager: Providing support for assigning duties and work delegation Roll out training and development plans to direct reports and new joiners. Qualifications, Skills and Experience: Degree in Accounting/Finance, or a relevant qualification Candidate should have 3+ years experience working in loan administration operations Extensive knowledge of CLOs/CDOs/Credit Funds Understanding or knowledge of various security types Private Debt, Syndicated Loans, Bonds, Equities Understanding of loan trade lifecycle Knowledge and experience with settlements including DTCC & Euroclear Knowledge and understanding of securities and other financial instruments Computer proficiency with advanced knowledge of Microsoft Office Suite, familiarity with Solvas (CDO-Suite) preferred Must experience into Solvas tool.

Perform end-to-end internal audits from planning to reporting including process understanding, walkthroughs, preparation of risk and control matrix audit work program, control testing to assess their design and operating effectiveness, preparation of audit report and agreeing issues/ actions with management. Have an in-depth understanding of the asset management industry risks/ issues trends and end- to-end investment process (front, mid and back office processes) for all asset classes including fixed income, equities, derivatives, real estate, private equity/ hedge funds and alternatives. Have thorough knowledge and understanding of Internal Audit and SOX/ ICFR methodology and IIA requirements. Deliver manage engagements to time, cost and high quality. Identify key areas of improvement in the client's business processes and add value by preparing insightful recommendations. Contribute to business development activities such as preparing proposals, lead identification Always comply with the firms quality and risk management policies.

Role Overview-Job Description We are seeking a dynamic and experienced Capital Markets Practice Lead to spearhead our Capital Markets division within our Financial Services Practice. The ideal candidate will possess deep domain expertise in capital markets, strong leadership skills, and the ability to drive technology-led transformation initiatives for our clients. This is a pivotal role, combining strategic oversight, client relationship management, business development, and technical delivery in a fast-paced consulting environment. Key Responsibilities Strategic Leadership Define and execute the growth strategy for the Capital Markets Practice, aligning with the overall organizational goals. Stay abreast of industry trends, regulatory changes, and emerging technologies to ensure the practice remains innovative and relevant. Develop service offerings and solutions tailored to the evolving needs of the capital markets ecosystem (e.g., trading, risk management, post-trade operations). Client Engagement & Delivery Act as the trusted advisor to senior stakeholders at leading financial institutions, including investment banks, hedge funds, asset managers, and exchanges. Lead large-scale IT consulting engagements, ensuring timely delivery, quality, and alignment with client objectives. Provide domain expertise in areas such as front-office trading, middle-office risk management, and back-office settlement processes. Business Development Identify and pursue new business opportunities, building a robust pipeline of engagements with existing and prospective clients. Collaborate with the sales and marketing teams to craft compelling proposals, presentations, and go-to-market strategies. Foster long-term relationships with clients, driving cross-sell and up-sell opportunities. Interacting with Analysts firms like Gartner, HFS, Everest, etc to both provide briefing and also leverage them to build new solutions Team Leadership Build and manage a high-performing team of consultants, architects, and analysts specializing in capital markets. Mentor and develop talent within the practice, creating a culture of innovation, collaboration, and continuous learning. Manage resource allocation across projects to ensure optimal utilization and profitability. Technology & Innovation Lead initiatives around emerging technologies, including AI, blockchain, cloud computing, and data analytics, to transform capital markets operations. Partner with technology providers, fintechs, and internal teams to design and deliver cutting-edge solutions. Ensure compliance with regulatory standards and best practices in technology implementation. Key Skills & Competencies Domain Expertise Deep understanding of capital markets, including equities, fixed income, derivatives, commodities, and alternative investments. Knowledge of trading platforms, risk management systems, and post-trade technologies. Hand-ons knowledge on capital markets IT products like Murex, Calypso, Summit, Wall Street Systems, Simcorp etc Experience in both buy and sell side preferred, more focus on sell-side, but need someone who is aware of trends and solutions in AWM space Leadership Skills Proven experience in managing and scaling a practice or business unit within a consultancy or financial services firm. Strong people management and leadership skills, with the ability to inspire and motivate teams. Technical Acumen Familiarity with modern technologies such as cloud (AWS, Azure, Google Cloud), big data platforms, AI/ML, and blockchain applications in capital markets. Understanding of software development life cycle (SDLC) and agile methodologies. Business Development Track record of driving revenue growth through business development and client relationship management. Experience and network in the industry to pull in relevant fintechs and product vendor like Murex, WSS, Simcorp etc Strong negotiation and influencing skills to secure client buy-in and expand engagements. Communication Skills Excellent verbal and written communication skills, capable of articulating complex solutions to both technical and non-technical stakeholders. Ability to present to C-level executives and industry forums. Qualifications Bachelors degree in finance, Computer Science, Business, or related field (MBA or Masters degree preferred). 15+ years of experience in capital markets, with at least 5 years in a leadership or consulting role. Proven track record of delivering large-scale IT projects or transformation programs within capital markets. Experience working with Tier 1/Tier 2 investment banks, asset managers, or other capital markets players. Relevant certifications (e.g., CFA, FRM, PMP, AWS, or ITIL) are a plus.

Operations: The person will set-up and manage the back-office team for operations of Mutual Funds, Insurance, Equities, Loan against MF/Equities, Bonds, etc. Effective handling & monitoring of day-to-day Operations including reports and MIS Coordination with internal and external stakeholders to manage escalations, customer queries, etc with logical conclusion. Process improvement, improvisation and automation. Drafting of process notes, approval notes and log sheets. Ensuring various regulatory compliance Engage in mentoring and training of team members. Admin & HR: Track and execute receivables and payments Asset management HR operations module.

Dear Candidate, We are having Openings for IT Business Analyst in Capital Markets @ Tech Mahindra who can join us Immediately. Below are the details. Location: Hyd/BLR/Pune/Noida Exp-5+ yrs NP-Immediate JD : 5+ yrs as a BA in Capital Markets Functional BA -- Fixed Income, Bonds , Equities, Derivatives, Trade processing Life Cycle Functional Production Support (L1 & L2). Good hands-on experience of Production Support and Processes. Strong analytical, written and communication skills. Sound technical skills in SQL Business Analyst Requirement gathering, preparing BRD & business scenarios etc. Functional Testing Preparing test scenarios and perform functional Good communication. Interested ones please share your resumes to sa00961356@TechMahindra.com Total Yrs of Exp: Exp in IT Business analyst: Exp in Capital Markets (Fixed income): Exp in Gloss: CTC: ECTC: Offer amount (if holding any offer ) : Notice Period (LWD if serving NP ) Preferred Location: Are you having PF deduction for all companies (If not pls mention for which companies you dont have) Are You Permanent Employee for all Companies (If not Pls mention your Payroll Company Names): Thank you Tech Mahindra Team