What are the responsibilities and job description for the Securities Information and Reporting position at SMBC Group?
SMBC Nikko Securities America, Inc. is a member of the Sumitomo Mitsui Financial Group (SMFG), one of the world's largest global financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional clients, focusing on North America and Latin America.
The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to provide operational support to the Fixed Income Securities business. This role is an extension of the broader New York based Securities Operations team. The role reports to the Head of Middle Office and Settlements to ensure a seamless operational support model between the New York and Charlotte offices.
The anticipated salary range for this role is between $65,000.00 and $80,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.
Role Description
The Securities Operations Group is looking for Customer Set Up and Maintenance Analyst. The individual will be responsible for setting up customer accounts (internal and external) in internal systems. While not part of the Client Onboarding group, candidate must be aware of KYC and AML concepts concerning customer accounts.
Responsibilities
- Set up customers in internal back-office systems.
- Maintain customer information and delivery instructions in back-office systems.
- Work closely with Middle Office, Client Onboarding, and Settlements during initial set up and any follow up on issues that may arise.
- Provide real time assistance to Middle Office and Settlements in order to have on time settlement and reduce failed trades.
- Testing various system upgrades and initiatives.
- Maintain procedures.
Preferred Qualifications
SMBC’s employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
Salary : $65,000 - $80,000
