30 Prime Brokerage Jobs - Page 2

The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, Global Markets and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Bangalore, Hong Kong and other major financial centers around the world. FICC & EQUITIES We make markets in and clear client transactions on major stock, options and futures exchanges worldwide. Through our global sales force, we maintain relationships with our clients, receiving orders and distributing investment research, trading ideas, market information and analysis. PB Risk and Underwriting is looking for an Associate to join our NY team focused on bespoke solutions (PB+). PB Risk and Underwriting provides services including financing, securities lending, execution and clearing, custody and settlement, capital introduction, consulting services to hedge funds, institutional clients, market makers, brokers. The Risk team is responsible for end of day and intraday risk management of client portfolios. The Risk team maintains proprietary stress methodologies that govern the margin posted by clients or setting risk limits at overall Beneficiary level. Risk team also runs several risk control processes for timely identification and escalation of client portfolios flagging for specific risks and prepares regular updates for senior management. For centrally cleared products (listed and OTC), the Risk team also reviews exchange margin methodologies on a regular basis and regularly engages with Exchanges, regulatory bodies and industry associations in advocacy efforts to ensure exchange models are robust. Our PB+ team leads the development of new client solutions and facilitates bespoke client transactions by leveraging our institutional capabilities, and making connections across various products, asset classes, and client segments. With reach across all prime brokerage s business lines, we work directly with clients, sales and trading to structure and underwrite financing transactions and financial products to meet the needs of our clients. In turn, members of our team develop a diverse book of business across multiple product lines, with broad exposure to the firm s global client base. The team works on transactions globally, alongside colleagues in our major offices in the US, EMEA and Asia. Responsibilities Work closely with members of the team across functions Collaborate with, and build strong partnerships, across Credit Risk, PB Risk Strats, and Tech teams Take part in all areas of bespoke & complex transaction execution Conduct ongoing monitoring of trades and control processes for timely identification and escalation post-execution Manage the setup and onboarding of new trades into existing workflows Basic Qualifications Highly motivated, entrepreneurial, and team-oriented. Passion for solving problems Strong organizational skills and strong attention to detail Strong technical and quantitative capabilities required Ability to multi-task across various projects and perform each at a high level About Goldman Sachs

ABOUT OUR ROLES As a middle office professional in the India Broker Dealer Operations team, you will hold a challenging and client-facing role, providing front to back operational support in the onboarding and maintenance of Trading licenses obtained by our Prime brokerage clients. The role involves active engagement with the executive members of our clients, senior members of the global sales and execution desks, various internal operations team and our agents. The India Broker Dealer Operations team is part of the Operations division of Goldman Sachs and functions within the Indian securities entity; Goldman Sachs (India) Securities Private limited (GIPL). It is a small team located out of two offices: Mumbai and Bengaluru supporting sales/trading desks and external clients in accessing the dynamic and heavily regulated Indian market through the Indian broking entity GIPL. The India Broker Dealer Operations team provides front to back support for all operational aspects of India equities & listed derivatives trading, from client initiation all the way through to settlement accounting whilst upholding strict standards of client service and risk management. To this end, the team supports sales and trading while closely collaborating with other parts of the federation such as technology, controllers, legal, compliance and various other teams within operations. JOB RESPONSBILITIES Manage the entire FPI registration process with the clients from participating in the business introductory calls to trading go-live. Function as the primary contact for the clients during the registration process and help them navigate the application, provide guidance and support. Consult with the DDP to ensure timely processing of applications and to stay updated on regulatory changes and guidelines related to FPI. Ensure all the account renewal and maintenance activities are completed within the regulatory deadlines. Obtaining an in-depth knowledge of the rules, regulations, and various nuances of the Indian equities & listed derivatives market. Responding promptly to client and counterparty inquiries, committing to deliverables as well as undertaking ad hoc investigation and analysis. Maintaining comprehensive and organized records of all FPI-related documentation, including registration applications, compliance reports, and regulatory correspondence. Working with internal and external auditors. Partnering with agents/DDP, sales and technology to improve efficiency, scalability and improve client experience through process re-engineering. BASIC QUALIFICATIONS Bachelor s degree with 3-8 years of experience in financial services Initiative-taking and proactive collaborators, who take ownership and accountability of projects, have strong organizational skills as well as the ability to effectively manage competing priorities. Flexible and able to work well under pressure in a team environment. PREFERRED QUALIFICATIONS India market experience and keen understanding of FPI regulations. Trading operations and Client Solutions/Custody/DDP experience Effective communication skills and comfortable interacting with external clients Proactively seeks knowledge and takes up self-learning initiatives. We re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https: / / www.goldmansachs.com / careers / footer / disability-statement.html The Goldman Sachs Group, Inc., 2024. All rights reserved.

Job Title: Client Service Job Code: 9114 Country: IN City: Mumbai Skill Category: Global Markets Description: Nomura Overview: Nomura is an Asiaheadquartered financial services group with an integrated global network spanning over 30 countries. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its four business divisions: Retail, Asset Management, Wholesale (Global Markets and Investment Banking), and Merchant Banking. Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com Division Overview : Nomuras Global Markets Division handles client transactions for financial institutions, corporates, governments and investment funds around the world. We act as market makers, trading in fixed income and equity securities, including currencies, interest rates and credit in cash, derivatives and structured products. We have taken marketleading positions across the globe by leveraging the strength of our talent, client relationships and technology. Business Overview: Nomura s Prime Services is a fully integrated platform offering global securities lending, innovative financing solutions, execution excellence, and industry expertise. Our clients include leading institutional asset managers, hedge funds, and other market participants across the globe. Leveraging the entire firm, Nomura Prime Services is committed to providing our clients with the highest level of service, support, and technology. Position Specifications: Corporate Title Associate Experience 5 10 years Qualification Post Graduate Degree/ MBA, CFA or equivalent finance major or similar Requisition Role & Responsibilities: The primary responsibilities for the roles within the Prime Client Services / OnBoarding Team would include: Responsible for the daytoday activities of Mumbai Prime Brokerage hub supporting till midnight . This role requires strong analytical skills and a thorough understanding of financial markets and ability to manage multiple tasks under pressure. Serve as primary/ secondary point of contact for Hedge fund clients, understand their needs and provide tailored solutions. Monitor and support client trade flows, investigate and trouble shoot issues related to Margin & Collateral, Corporate actions etc. and escalate when necessary. Facilitate smooth Onboarding process for clients on the platform by coordinating with various teams. Work closely with trading desk, operations and other internal teams to resolve any issues during and after the Onboarding process. Product and Process Improvement focused. Should develop process orientation and capacity enhancement methodologies, regularly monitor productivity and efficiency. Mind Set: Mandatory Desired Domain Post Graduate Degree/ MBA, CFA or equivalent finance major or similar Strong knowledge of Equities, Equity Derivatives, Convertible Bonds, Fixed Income, Repo, and Futures and Options. Excellent interpersonal and communication skills. Good general knowledge & understanding of current macroeconomic trends. Strong logical, analytical and problem solving skills are necessary. Strong team player, a quick learner and willing to put extra effort to build client / stakeholder relations and garner business knowledge. Proficiency in MS Excel at intermediate / expert level. Selfstarter and ability to multitask and meet various deadlines. Previous experience in Global Markets (Prime Brokerage, Equity Financing, Treasury or Risk management) preferred Knowledge of Prime Brokerage and/or financing businesses, and client motivations. Cross products (Cash / Synthetics PB, Seclending, Liquidity management etc.) knowledge a plus. Experience of BI tools such as Power BI or Tableau is a plus.

Join our Cleared Margin Client Service Team within Prime Financial Services, where your expertise will drive margin settlement efficiency and risk mitigation. Collaborate with a global team to manage client relationships and ensure seamless operations in a dynamic market environment. Elevate your career by partnering with diverse stakeholders and enhancing our client service offerings. Job Summary As a Client Service Representative within the Cleared Margin Client Service Team, you will manage margin settlements for Futures, Options, and OTC Cleared Products. You will liaise with buy-side clients and develop partnerships with internal teams to ensure risk mitigation and operational excellence. Your role will involve providing a controlled environment for counterparty risk management and supporting the prime brokerage/clearing businesses. Job Responsibilities Book client-agreed margin and respond to incoming margin calls. Follow up on counterparty failed settlements and investigate disputes. Resolve incoming queries regarding client portfolios promptly. Escalate issues accurately in line with regulatory requirements. Develop the Clearing Client Service offering and generate efficiencies. Provide flexible support in a changing market environment. Collaborate with internal teams to enhance client service. Ensure accurate and timely margin settlements. Maintain high levels of accuracy and attention to detail. Communicate effectively across multiple lines of business. Adhere to strict deadlines and procedures. Required Qualifications, Capabilities, and Skills Minimum5 years of external client services experience or similar. Possess working knowledge of OTC Derivative products, Futures, and Options. Solve problems and develop solutions for clients strategically. Exhibit high accuracy, numeracy, and core system skills. Communicate effectively with diverse stakeholders. Meet clients confidently and deliver feedback on data. Adhere to strict deadlines and work methodically. Preferred qualifications, capabilities, and skills Demonstrate strong risk and control awareness. Act as a dynamic and proactive team player. Build effective relationships with a variety of stakeholders. Adapt to changing environments and market conditions. Implement process improvements strategically. Engage in detailed interactions across business lines. Ensure team efficiency and collaboration.

We make markets in and clear client transactions on major stock, options and futures exchanges worldwide. Through our global sales force, we maintain relationships with our clients, receiving orders and distributing investment research, trading ideas, market information and analysis. OPERATIONS Operations is a dynamic, multi-faceted division that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world. In addition, Operations provides essential risk management and controls to preserve and enhance the firms assets and its reputation. For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow. YOUR IMPACT We are looking for a professional who wants to use their skills and experience to help deliver on operations agenda while challenging themselves to further their career at Goldman Sachs. Prime Brokerage & Clearing Operations provides clearing, execution and custody services for all major products across over 75 exchanges. Clients include hedge funds, asset managers, governments, corporates, broker dealers, Goldman Sachs franchise traders, other professional investors and market markers. Operations teams supporting the Prime Brokerage and Clearing business are responsible for providing centralized securities clearing and settlement, managing cash inflows and payments, and maintaining the accuracy of clients positions and transactions. The Prime Brokerage & Clearing Operations consists of three functional teams, namely; Middle Office, Control & Custody Services. Prime Brokerage & Clearing Operations globally is located in London, Jersey City, Salt Lake City, Singapore and Bengaluru. The department s key priorities are to mitigate risk, provide exceptional client service and drive strategic change.. JOB SUMMARY AND RESPONSIBILITIES The position available is with the Prime Brokerage & Clearing Operations team. The reporting line is to a Team Manager as first line management, with further supervision by the Vice President. Key stakeholders and interactions will be with GS Trading and Sales Desks, Client Services Group, Engineering and Operations Teams, Credit, Legal, Compliance and external counterparties. The following tasks give an overview of what is required day to day: Developing and maintaining strong relationships with all stakeholders - Business, Engineering, Operations and Credit. Actively engage, partner and drive changes, provide excellent service and support Delivering transactions in agreed timeframes, as per SLA s whilst improving quality of processing, reducing errors and inculcating the zero-error culture Process payments, journals and securities movements in accordance with Firm guidelines Monitoring and resolving trade management exceptions by interacting with clients, brokers & other Ops teams Effective pre-matching & fails management tasks to ensure timely settlement of trades with counterparties. Investigating and resolving discrepancies of positions (cash and securities) in the firm s books and records. Demonstrate effective client service by dealing with client queries with utmost sensitivity & urgency. Effective escalation on critical & high value breaks to senior management Provide technical expertise related to the implementation of new processes, global consistency, risk management, efficiency, and technology convergence initiatives among other projects. Completing and overseeing daily checklist ensuring all controls, procedures and processes relating to the assigned functions are followe'd. Acting as a change agent solving problems at root cause whilst also taking / making opportunities to automate flows. BASIC QUALIFICATIONS We are looking for an enthusiastic and committed individual who is looking to operate in a dynamic working environment where communication and teamwork skills are essential. Exceptional client service and relationship building are required to interact with our clients and the team. The candidate should have a control focus and be achievement orientated to produce results to ensure that all risk is mitigated. Strong organizational skills required. Deadlines within this role are very strict with zero tolerance. Prompt escalation and clear communication is paramount. Be flexible, work on projects or aid other team members. PREFERRED QUALIFICATIONS Work experience in a Securities Middle Office, Trade Settlement, Cash Payment functions, trade support for 3+ years. Experience of playing a leading role in a team providing task supervision, support and training to more junior members. Control/Reconciliation or Prime brokerage operations experience would be a desirable Equities Industry and market knowledge would be an advantage.