The Equity Prime Brokerage Middle Office team sits in the Global Business Service Unit (GBSU). The team handle operational, administrative and financial processes initiated by Equity and Equity Derivative business lines. In addition, the team ensures the control and security of transaction processing in accordance with current financial legislation and firm wide controls.
- Execution of all operational functions from business transacted by the Equity and Equity Derivative FO.
- The first level of control of operations and "quality" certification
- Post Trade Customer Relationship Management.
- Relationship with customers, any support during the life of the transactions
- Management of repositories.
- Management of external service providers.
Major Accountabilities/Principal Responsibilities:
- Product scope: Dynamic Portfolio Swap (DPS), Cash Equity, Fixed Income.
- Ensure that all trades are booked in Front Office database; justify any late or amended booking.
- Ensure that all trades are allocated to client accounts.
- Perform reset payment pre-matching, manage trade related breaks, manage client reporting
- Answer to specific client requests related to transactions
- Management of client escalation requests
- Client onboarding operationally including portfolio wrapper set up and reporting configuration.
- Streamline booking workflow through automation and process review
- Contribute in defining specifications and performing UAT for new information system or booking scheme
- Document / update procedures relate to sensitive processes and controls
- Liaise with other departments to ensure the smoothness of operational flow
- Work closely with different teams (Traders, Sales, Back Offices, IT) in different regions (Asia, Europe, America) to deliver a seamless client experience
- Drive key EPB projects (including global initiatives)
- Implement Cclient cnetricity within the team