锦鲤求职岗位描述
证券及衍生品高级经理属于高级管理职位，负责与运营－交易服务团队协作，通过团队或部门管理实现业绩，以处理交易柜台和分行办公室发起的指令和交易。该职位的总体目标是确保证券及衍生品交易的顺利交割。
职责：
制定及实施业务措施、客户解决方案或证券及衍生品结算相关项目
应客户要求解决复杂咨询、开展探索及完成尽职调查活动
在必要时针对上报问题提供详细分析，建议解决措施
为应对证券及衍生品处理团队的标准和期望贡献力量
制定及实施业务计划、政策和程序，提出解决方案，创造成本节省机会
管理与证券及衍生品运营流程结算后活动相关的日常工作执行
提出解决方案，以实施结算流程改善、客户服务加强或整体技术升级
与内部和外部客户协调评估服务质量，寻找改善空间
担任新晋／初级员工顾问
在作出业务决定时适当评估风险；特别注意公司的声誉；并通过促进遵守适用法律、规章和制度、遵守政策以及就个人举动、行为和业务实践应用良好的道德判断， 透明上报、管理和报告控制问题， 以及有效监督他人的活动，并对那些未能恪守有关标准的人进行问责， 来保护花旗集团、其客户及资产。
任职资格：
6-10 年相关工作经验
必备许可／注册：系列 9
具备人员管理经验
能够始终如一地进行清楚简洁的书面和口头交流技巧
教育：
本科学历/大学学历，或同等学历
硕士以上学历优先
该职位描述是对将要执行的工作类别的高度概述。可能会根据需要分配与工作相关的其他职责。
Operational Oversight & Management:
Manage and supervise the end-to-end equity settlement process.
Oversee Securities Borrowing and Lending (SBL) settlement operations, ensuring accurate booking, settlement, collateral management, and recall/return processing.
Direct the local trading account opening process, ensuring adherence to Know Your Customer (KYC), Anti-Money Laundering (AML), and other regulatory compliance requirements. This includes documentation review and system setup.
Manage futures settlement operations, encompassing margin calls, daily settlement, expiry processing, and reconciliation of futures and options positions.
Ensure compliance with all relevant industry regulations (e.g., T+2 settlement, local market rules, central depository requirements, futures exchange rules) and internal policies across all operational areas.
Monitor daily activities to identify and resolve discrepancies, failed trades, and other operational issues promptly across all covered products.
Oversee the management of nostro accounts, clearing accounts, and client segregated accounts, ensuring accurate cash and stock/futures positions.
Team Leadership and Development:
Lead, mentor, and develop a high-performing and adaptable team of operations specialists across equity, SBL, account opening, and futures functions.
Conduct performance reviews, provide regular feedback, and identify training and development needs to ensure cross-functional capability where appropriate.
Foster a culture of continuous improvement, accountability, and collaboration within the diverse team.
Manage staffing levels, recruitment, and resource allocation to meet varying operational demands and strategic priorities.
Risk Management and Control:
Identify, assess, and mitigate operational risks associated with equity, SBL, account opening, and futures settlement processes.
Implement and enforce robust internal controls to safeguard assets and prevent errors, fraud, and non-compliance across all functions.
Develop and maintain comprehensive business continuity plans (BCP) and disaster recovery strategies for all operations under remit.
Respond to and resolve internal/external audit findings and regulatory inquiries related to all settlement and account opening activities.
Process Improvement and Technology:
Drive initiatives to enhance operational efficiency, reduce costs, and improve service quality through process re-engineering and automation across all areas.
Collaborate with technology teams to evaluate, implement, and optimize core settlement systems, SBL platforms, account opening workflows, and futures processing tools.
Stay abreast of industry trends, technological advancements, and regulatory changes affecting equity, SBL, account opening, and futures operations.
Stakeholder Management:
Build and maintain strong working relationships with front office trading desks (equities, SBL, futures), middle office, finance, compliance, legal, and other internal departments.
Liaise with external counterparties, custodians, central depositories, clearing houses, and exchanges to resolve issues and optimize operational flows.
Represent the firm in industry forums and working groups related to these operational domains.
Reporting and Analysis:
Generate and analyze operational metrics, performance reports, and management information across all functions.
Provide insights and recommendations to senior management on operational performance, risk exposures, and strategic initiatives.
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Job Family Group:
运营 – 交易服务
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Job Family:
证券及衍生品
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Time Type:
全职
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Most Relevant Skills
Please see the requirements listed above.
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Other Relevant Skills
For complementary skills, please see above and/or contact the recruiter.
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