Equities Trade Processing Analyst

The Securities & Derivative Analyst 1 is an entry level position responsible for processing orders and transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Services team. The overall objective of this role is to assist in the clearance, settlement and investigation of client securities and derivatives transactions.

Responsibilities:

• Client on-boarding for Institutional, Corporate and HNI Clients by complying with local regulatory requirements, Citi internal due-diligence requirements and Risk Based KYC norms. This entails risk categorization, documentation, sanctions screening, names screening and multi-layered escalations.
• Managing the Equities trading and clearing Operations for Institutional clients viz., FIIs, MFs, Insurance Companies, FDIs and large corporates.
• Support the team in managing the day to day activities in an effortless and error free manner.
• Core processing of activities related to transaction processing, maintenances, Exchange reporting’s, & other functions for BAU activities.
• Stock Exchange and custodian Settlements, monitoring Trade Life Cycle, Risk Management, Client Servicing, Process re-engineering initiatives.
• Ensure compliance with regulatory guidelines and assist in regulatory and financial inspections
• Perform operational activities for reconciliations and client reporting
• Ensure meeting internal and regulatory Compliance and Control requirements of Citi.
• Managing complex Operational Risk controls as per internal Citi standards.
• Extend support to business in technology and process efficiencies initiatives and implement regulatory changes.

Qualifications:

• 3-5 years of experience in Capital Markets specifically in brokerage operations
• Consistently demonstrates clear and concise written and verbal communication skills

Education:

• CA / MBA and preferably NISM certified

This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

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