LevelUP HCS | Securities Operations Specialist

Responsibilities:Perform product, system testing and implementation for financing, custody, settlements and asset servicesReview workflows with a focus on process improvementDevelop and design workflow enhancementsCoordinate and support application implementations and upgrades on securities processing platformsMonitor and provide reporting on control performance in appropriate bank or departmental platformsInterface with auditors and regulators such as FINRA during examinations or when called uponReview relevant regulatory changes and updates, and ensure they are incorporated into departmental management processesRegularly update policies and procedures, keeping them current in accordance with bank and regulatory requirementsCreate and maintain risk and management reportingCreate and deliver custody reports and market updates for customersDesign and produce market and industry updates for customers and management. Qualifications:5 to 10 years of securities operations management experienceUndergraduate degree or relevant experienceSeries 27 requiredBroadridge BPS and Impact skillsExperience with BNY BDCAbility to partner with Finance plus strong accounting skills a plusExhibit expert understanding of end-to-end securities processing and fundamental understanding of accounting principles as they relate to the securities productsStrong ability to use desktop applications, Word, Advanced Excel and PowerPoint

Created: 2025-01-19