As an Investment Trading Associate in the CRD-UMA team, you will be tasked with conducting thorough analysis and remediation of complex cases from Money Managers, Risk/Compliance, and Technology, while ensuring compliance with established SOPs. You will address and resolve discrepancies, provide regular updates on case progress, and work collaboratively with business partners to facilitate effective problem-solving. Your responsibilities will include maintaining a deep understanding of SOPs, promptly identifying and escalating potential business risk incidents, and working with stakeholders to mitigate these risks. Furthermore, you will continuously assess and identify opportunities for process enhancement, engaging in initiatives to improve scalability and efficiency, and implementing best practices for strong controls management. Your analytical expertise and attention to detail will be vital in optimizing process operations and risk management frameworks.
Job Responsibilities:
- Perform in-depth analysis and remediation of complex cases from Money Managers, Risk/Compliance, and Technology.
- Ensure all cases are processed in accordance with established SOPs and resolve discrepancies or issues promptly.
- Provide regular updates on case status and collaborate with business partners for effective problem-solving.
- Maintain a comprehensive understanding of SOPs and ensure strict adherence, documenting any deviations.
- Identify potential business risk incidents and escalate them promptly, collaborating with stakeholders to mitigate risks.
- Maintain accurate records of all risk incidents and actions taken, ensuring the risk framework is optimal.
- Continuously evaluate and identify opportunities for process improvement, participating in initiatives to enhance scalability and efficiency.
Required qualifications, capabilities, and skills:
- At least 5 years experience in trading services, financial analysis, guidelines management, or a related role.
- Excellent analytical and logical thinking to understand and analyze complex business processes.
- Strong attention to detail and accuracy.
- Ability to manage multiple deadlines and deliverables simultaneously.
- Strong communication and interpersonal skills.
- Ability to work independently with minimal supervision.
- Knowledge of trading platforms and financial markets.
- Collaborative, committed, and able to maintain a positive attitude on high-profile/time-sensitive initiatives.
- Proficient in risk management, escalation, and process improvement. Adaptability, continuous learning, and a customer-focused mindset.