12 Trade Settlement Jobs

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 followed. 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 2+ 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.

Dear Applicants! Greetings from Teamware Solutions! Position: ISG Entitlement Experience: 2- 5 Years Location: Mumbai (Apply if you are in western line) Notice Period: Immediate Joiners only Interested candidates can apply to the given Email ID: srividhya.g@twsol.com Primary Responsibilities Processing requests for entitlements to Morgan Stanley proprietary and third party vendor electronic trading platforms. Maintaining existing user accounts and managing queries related to them. This includes configuration and linkages to downstream systems to ensure straight through processing of trades. External platforms include Bloomberg, Tradeweb and MarketAxess. Processing requests for entitlements to Morgan Stanley proprietary extranet applications providing research and other services, and third-party vendor platforms delivering Morgan Stanley research. Maintaining existing user accounts and managing queries related to them. External platforms include Markit Hub, Bloomberg and Thomson Reuters. Processing requests for entitlements to a variety of internal risk and inventory management applications. Maintaining existing internal accounts. Following specified procedures for different platforms, applications, and products, managing multiple queues throughout the day, and ensuring delivery within established SLAs. Periodically reviewing the appropriateness and relevance of user entitlements to various applications and ensuring there are adequate information barriers. Driving the entitlements strategy for ISG globally which includes managing key entitlements initiatives and projects related to transfers, vendor applications, separation of duties, cyclical and ad hoc entitlement reviews Participating in / responding to periodic entitlement audit inquiries and reviews. Producing metrics/reporting of work done by the team, and data integrity. Maintain procedures database for reference. Using the report generation tool to generate/distribute business critical reports in response to business requests. Representing ISG in Firm wide working groups related to entitlements and data leakage, and advocating for solutions benefitting the process. Taking corrective measures for any trade flow issues resulting from incorrect setup and following up with the relevant groups to resolve any technical issues. Maintaining documentation related to account setup on electronic trading and research platforms. Skills required(essential) Graduate/Post Graduate with a First Class or above throughout 2 to 4 years experience in entitlements management, trade support or similar background Strong working knowledge of financial products including Fixed Income, Equity products and Derivatives Understanding and strong focus on the mechanics of a control environment, including escalation and risk-related issues Excellent English and verbal and written communication skills Team player with ability to work in global environment Strong MS-Excel knowledge such as the ability to run V-Lookups and create Macros a plus Strong analytical and research skills Ability to prioritize assignments effectively Strong communication skills Attention to detail; strong organizational skills

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 followed. 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 2+ 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.

Wells Fargo is seeking a Associate Securities Operations Representative In this role, you will: Support a variety of operational tasks for simple or routine securities Identify ways to improve the overall process Perform routine duties such as processing, reconciling transaction and research inquires Regularly receive direction from supervisor and escalate issues to more experienced roles Review less complex documents Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Qualifications: 6+ months of Security Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education

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 followed. 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 2+ 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.

WEALTH MANAGEMENT Across Wealth Management, Goldman Sachs helps empower clients and customers around the world to reach their financial goals. Our advisor-led wealth management businesses provide financial planning, investment management, banking and comprehensive advice to a wide range of clients, including ultra-high net worth and high net worth individuals, as well as family offices, foundations and endowments, and corporations and their employees. Our consumer business provides digital solutions for customers to better spend, borrow, invest, and save. Across Wealth Management, our growth is driven by a relentless focus on our people, our clients and customers, and leading-edge technology, data and design. OPERATIONS Operations is a dynamic, multi-faceted function 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 firm's 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 Does capital market trades enthuse you Our Asset Transfer Settlement Group is looking for a professional to play a key role in safeguarding the client and Firm's risk with respect to facilitating and managing trade positions and settlement. OUR IMPACT Operations is a dynamic, multi-faceted division that partners with all areas of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world. Alongside this vital service delivery role, Operations provides essential risk management and control, preserving and enhancing the firm's assets and its reputation. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow. Operations span all product lines and markets, serving as internal business partners who develop the processes and controls, and help to specify the systems that deliver accuracy, timeliness and integrity to our business. The Asset Transfer Settlement Group handles incoming and outgoing transfer requests for PWM/PB/GSEC clients.The team envisions to lead the industry by delivering the best transfer experience for our clients, internal business partners and contra firms.The interaction will include laising with internal sales team reps, settlement groups, inventory management teams and brokers across the street. This function forms an integral part of our business by working to identify synergies that balance the business, client and regulatory needs. BUSINESS UNIT OVERVIEW Private Wealth Management (PWM) Operations supports Private Wealth Management, which is responsible for advising wealthy individuals on strategies to build and protect their financial assets through highly customized advice and service. PWM Operations is instrumental in meeting our clients needs and is responsible for the development, service delivery and control of global private banking; proprietary and open architecture alternative investment vehicles; derivatives trading; bookkeeping, accounting, performance measurement and reporting of Goldman-custodied assets and away-custodied assets; multiple externally managed account platforms; and multiple custody services. HOW YOU WILL FULFILL YOUR POTENTIAL An integral part of this role includes processing client account transfer requests and internal /external contact. Demonstrate the ability to constantly apply sound business judgment in order to manage trade positions, firm exposure and settlements The processing aspect encompasses a detailed review of assets to transfer and coordinsation with both client and other financial institutions to ensure the expedient receipt/deliver of assets. Perform transfer processing, settlement and funding processes for various entities of Goldman Sachs (GSCO, GSI) enforcing regulations and Goldman Sachs policies Develop a profound understanding of Financial Instruments and market knowledge involving country specific requirements and translate this knowledge to day-to-day responsibilities Engage in opportunities to review processes, analyze information, make decisions and recommendations and implement and monitor procedures Becoming commercially aware and understand the nature of the business you are involved in while at the same time ensuring all Goldman Sachs Settlement standards are constantly being met Displaying a strong ability to influence the PWM Business by serving as a liaison between Asset managers, Brokers, Compliance, Sales teams and Securities Division Develop strong working relationships with Technology to help address technology-related issues and prioritize various projects/initiatives, Support system development through specification, user testing and integration SKILLS & EXPERIENCE WE ARE LOOKING FOR BASIC QUALIFICATIONS Bachelor's degree required Maximum an year of work experience in Operations or related field Maximum an year of work experience in Finance or related field Proficiency using the Microsoft Office Suite in particular Excel, PowerPoint and Microsoft Word PREFERRED QUALIFICATIONS Candidate must be proactive, enthusiastic and team oriented Ability to prioritize and make decisions in a fast-paced environment Accuracy and attention to detail and strong organizational skills Strong written and verbal communication skills Strong analytical and data skills Good understanding of the financial industry and financial instruments Ability to multi-task with high accountability and due deligence In-depth knowledge of trade settlement process (Preferred)

Dear Applicants! Greetings from Teamware Solutions! Position: Equity Client Operations Experience: 2- 5 Years Location: Mumbai (Apply if you are in western line) Notice Period: Immediate Joiners only Interested candidates can apply to the given Email ID: srividhya.g@twsol.com Primary Responsibilities: The successful candidate will be responsible for the following:- 1. Allocating and sending out confirmation of trades to clients. 1. Monitoring unmatched trades and taking prompt action for a timely settlement; dealing with various queries from the clients and the sales traders-Reviewing and monitoring risk reports and cleaning up exception items. 2. Static data maintenance-Building client relationship through day-to-day processing and contacts. Skills required:-Broad understanding of different investment products and instruments-Excellent verbal and written communication skills Organizational skills 1. Excellent attention to detail 1. Problem solving skills and excellent judgment 2. Strong risk awareness and orientation 3. Prioritisation and time management skills - for own workload and that of others-Takes ownership of issues is methodical and ensures resolution 4. Has proven ability to interact with multiple internal and external functions including clients 5. Sales and other functional operations teams Interested in flexible working opportunities 6. Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. 7. Speak to our recruitment team to find out more.

Dear Applicants! Greetings from Teamware Solutions! Position: Cash Equity Operation ( (Prematching & Settlement ) Experience: 2- 5 Years Location: Mumbai (Apply if you are in western line) Notice Period: Immediate Joiners only Interested candidates can apply to the given Email ID: greeshma.t@twsol.com Job Description:- Team Profile: Equity client operations support a wide range of products/ markets and clients, this extends to equity products settling via Euroclear, DTC and International domestic settlement . The team always seeks to respond rapidly to clients needs and developments within the industry, making it a constantly changing environment, which demands high performance from the individuals in the team. Clients have a named point of contact who can respond effectively to their queries. Primary Responsibilities: The successful candidate will be responsible for the following: 1. Allocating and sending out confirmation of trades to clients 2. Monitoring unmatched trades and taking prompt action for a timely settlement ; dealing with various queries from the clients and the sales traders 3. Reviewing and monitoring risk reports and cleaning up exception items 4. Static data maintenance 5. Building client relationship through day-to-day processing and contacts.

About this role: Wells Fargo is seeking a Securities Operations Representative In this role, you will: Perform various operational tasks on complex securities that require general knowledge of unit functions and systems Support securities operations Identify ways to improve the overall process Perform moderately complex duties such as processing, researching inquires and reconciling transactions Review time sensitive documents Receive direction from supervisor and coordinate situations involving other departments Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Perform Reconciliation of advisory accounts and ensure accurate maintenance on the systems by adhering to the agreed service levels. Liaising with portfolio managers regarding cash flows and active cash management Interaction with Financial Advisors, Investment Managers, Business counterparts to gather process/product related information. Required Qualifications: 2+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Candidate should have good accounting Knowledge Good understanding of tasks like reconciliation, matching, trade settlement, Capital markets etc. Good problem solving and analytical skills and numerical skills Typing Skills Good Communication (Read Write Speak) Desirable to have experience of interacting with US counterparts. Commerce graduate or any equivalent qualification in finance field. Job Expectations: Working Hours: 6:30pm to 3:30amWork location: Bangalore-India

Role Description The Clearing and Settlement Analyst is accountable for managing the end-to-end clearing and settlement process; ensuring smooth and timely market settlement of securities and cash transfers between the bank and its counterparty. This includes clearing and settlement through primary and secondary markets, or direct payment to clients and banks. The Clearing and Settlement Analyst supports interfaces with different internal and external stakeholders (front office, clients, brokers, nostro agents, exchanges and clearing houses) involved in the clearing and settlement process chain, according to the market standards. The role is responsible for trade date to settlement date processes (pre-matching and confirmation, trade processing, cash transfer, instruction routing, depot and inventory management, funding and settlement monitoring) and post-settlement date processes (fails management). Your key responsibilities Working with brokers, custodians to settle trades in a timely manner. Investigation of trades if any discrepancies and should reach out to respective teams/brokers for necessary corrections. Escalating to Front office for unsettled trades as per escalation matrix. Preparation of daily and monthly reports for outstanding trades/breaks on timely basis. Preparation of monthly KPI. Ensure team adherence to all cut-off times and quality of processing as maintained in SLA Ensure that all queries/first level escalations related to routine activities are responded to within the time frames pre-specified. Ensure healthy and harmonious relationship with the clients, partner teams as well as with own team. Your skills and experience Strong analytical skills Fluency in Microsoft Office skills Good communication and interpersonal skills Exposure to Equity, and Bonds is preferable. Understanding of Trade life cycle Education | Certification (Preferred not necessary): Bachelors degree or plus from an accredited college or university with a concentration in Finance / Investment Banking Operations Certification in Investment Banking Operations courses Technical Competencies: Understanding of platforms like DTC, Custody portals, CTM, Alert, Matching platforms Business Competencies: Communication Experienced with good hold on English language Financial Management / Investment Banking Operations- Basic/Intermediate Industry Knowledge - Experienced Innovation Basic Managing Complexity - Basic Product Knowledge (internal & external) Advanced with strong product understanding of Equity, Fixed income, Trade life cycle, Corp Actions, Recon, good understanding of different participants of TLC. Risk Management - Basic Technical Competencies: Business Continuity/ Disaster Recovery Experienced Operational Management Experienced.

Role: Client Service Analyst Experience: 0-3 Years Location: Bangalore/Jaipur Engagement: 8 Months initial contract Client: Global Bank Work Mode: Work From office Description: The Assistants role within Trade Services is responsible to acquire complete knowledge of Trade Services processes. Incumbent can be placed in any Trade Services Processes which are Settlement-Matching/Fails/Instructions/Registered Shares/Confirmation, Cancellations, Reconciliation, Transaction Reporting or Trade Investigation Responsibilities: Successfully meeting process SLAs/productivity/quality as per the process standards. Get certified on all training levels of the process. Meet SLAs requirements as per the agreed Service Specifications Meet training targets to learn process for securities transfers, matching, fails handling & confirmation of trades and non-trades, cancellations & corrections of trades, registration & deregistration of shares, cash & stock reconciliation, transaction reporting and trade investigation 100% completion of the assigned work with required quality and appropriate productivity Contact counterparts through mails/calls as per the process requirement for any clarifications. Performing quality checks as and when required. Understand the linkages between various Trades Services Processes Strive for process improvements. Responsiveness to feedback provided by Trainers/ Team Leaders Always maintaining a professional approach to work, providing prompt and appropriate responses at all levels. Actively participate in the team meetings and other initiatives taken by the company. Following company rules and standard operating procedures. Adhering to all Security Policies and Procedures as per business requirements Maintaining MIS reports, analyze data by using various reporting/presenting tools. Active demonstration of the company values in behavior and attitude Continually up-grading domain knowledge. Exhibiting discipline on a personal level as well as a professional level. Skills/Experience/Qualifications required to perform the role Graduate / post-graduate German language (Level 3 & above for specific processes) mentioned beforehand Skills & work experience: 0-2 years of work experience Good communication skills Computer literate Key Performance Indicators: Meet and exceed timelines on productivity targets on a consistent basis. Meet and exceed quality targets on a consistent basis To ensure that the queries are raised within the stipulated TAT Completeness and correctness of the MIS sheet should be strictly followed Productivity - (must meet productivity targets set)

Job Location - Hyderabad Shift - US shift (7:30 PM to 5:30 AM) Money Market MM Trade confirmations & Settlements Outgoing wire payments Inter office Lending & Borrowing LOU Confirmations New Counterparty maintenance Rates Resets & Call notice. SSI maintenance Foreign Exchange - FX Confirmation Settlements Preparing and/or verifying New, Amended, Terminated, Novated confirmation, checking confirmation details versus trade booking, signing, verifying client authorized signatory and dispatching to client Confirmation monitoring, tracking, reconciling, reporting and follow-up until confirmation fully executed. Follow up and investigation with Front Office and client on inquiries Prepare draft confirmations Contact setup and maintenance Monitor TRAM queues Execute various reports from both internal and external systems SSI setup and maintenance Reconcile and monitor incoming USD settlements Reconcile daily outgoing payments Dodd-Frank regulatory reporting to Head Office Securities Securities Confirmation & Settlements Certificate of Deposits (Buy Back) Commercial Paper (Buy Back) REPO / Reverse Repo Manual Payments Securities - Fails Securities Bought/Sold Settlements Verification of CUSIPs Derivatives Trade Booking New cleared and non-cleared Interest Rate and Credit Derivatives Lifecycle events (amendments, terminations, expirations, exercises, and novation’s) FX Options / Caps/Floors / CDS / Manual booking of Listed Futures & Options Rate Fixings: Obtain required rates from Bloomberg/Time scape for input Rate Reset Advices Settlements Confirm cleared and non-cleared settlements with counterparties and process them accordingly. Process various fees including cable charges, OTC brokerage payments, clearing and arrangement fees. Investigate and resolve post settlement breaks. Reconciliations Review various reconciliations pertaining to new trades, settlements/fees, and account balances, investigate and resolve breaks Post manual entries for various purposes (transfer funds between cash accounts, adjust P&L, etc. Role Description Qualification: Education, bachelor’s degree or equivalent practical experience preferred Responsibility: Stakeholder & Business Management Effectively address client queries with timeliness and accuracy Build and nurture relationship with the clients to understand and meet their requirements while ensuring effective business delivery Provide relevant client specific statements and information as per the requests received Support the team in performing various ad hoc tasks and activities assigned to the group, self Contribute towards process improvement ideas on productivity accuracy and turnaround time Knowledge Management Update SOP as per the agreed frequency Customer Relationship Management Liaise with all the clients' stakeholders (sales force front desk personnel traders account managers relationship managers and credit officers) via phone, email and chats in ensuring faster and accurate resolution of breaks of both economical and non-economical in nature Process Improvements and Process Adherence, Adhere to operating procedure guides and ensure 100% compliance to policies Support the team in various ad hoc tasks and activities assigned to the group Contribute towards process improvement ideas on productivity accuracy & turnaround time Regards Kavita Garg kavita.garg@cognizant.com