"Alerted.org

Operations Supervisor - Investment Banking

LocationStamford,United States

Job typePermanent

Contract typeFull Time

\#R-00263769

Our people work differently depending on their jobs and needs. From hybrid working to flexible hours , we have plenty of options that help our people to thrive.

This role is based in the United States and as such all normal working days must be carried out in the United States.

Job description

_This job description is intended to describe the general requirements for the position. It is not a complete statement of duties,_ _responsibilities_ _or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business._

Overview:

The NatWest Operations Oversight & Advisory team is responsible for supervising activities that been outsourced to Broadridge while also supporting key clients and other stakeholder areas as part of our global Business Partnering Centre of Excellence. This oversight role collaborates with our Operations Service Providers, Front Office, Business Management, Client Management, Risk & Control, and COO teams to respond to change, market and technology events, and driving improvements to processes and services. The team also ensures services received are in line with key controls, agreements, regulation, and business appetite as relationships are maintained and operational capability is enhanced upon.

Responsibilities to include:

+ Day-to-day oversight of outsourced and third-party activities in line with documented procedures.

+ Operational lead in remediating front-end and time-sensitive issues to ensure seamless trade lifecycle flow.

+ Implementation and execution of Written Supervisory Procedures (WSPs) for outsourced managed activities, ensuring supervision is evidenced and aligned with documentation.

+ Review and challenge Standard Operating Procedures and daily outputs, working with internal stakeholders to highlight concerns and remediate incidents.

+ Ensure preparedness for industry, regulatory, and internal change initiatives.

+ Identify and lead opportunities to re-engineer processes and controls from cost-saving, regulatory, and customer experience perspectives.

+ Implementation, maintenance, and monitoring of Service Level Agreements (SLAs) with vendors.

+ Manage internal and external audits, perform risk assessments, and ensure timely closure of findings.

+ Attend regular governance meetings with service providers and vendors—ensure issues are raised and actioned, meetings are well documented, and required changes are discussed and agreed.

+ Maintain an effective control environment through policy updates, SOX controls, MI reporting, and governance documentation.

+ Review and process agent and agent invoices.

+ Provide regular reporting to management on the status of outsourced and vendor-managed activities, highlighting risks, issues, and remediation actions.

+ Maintain relationships with agent banks and vendors through regular meetings focused on updates, issues, and changes.

+ Review and approve cash wires and journals to the firm’s General Ledger.

+ Partner with Finance to process month-end ledger cash adjustments and reconciliation packages.

Requirements:

+ Undergraduate Degree required; FINRA Series 99 and/or 7 preferred.

+ Minimum 3+ years’ experience in Fixed Income Operations at an investment bank.

+ Strong understanding of Fixed Income products, collateral management, and reconciliation processing.

+ Familiarity with US regulatory requirements specific to Broker Dealer Operations.

+ Solid understanding of general accounting principles.

+ Strong communication skills with senior stakeholders internally and externally.

+ Proven ability to manage multiple tasks, meet deadlines, and communicate effectively across all levels.

+ Proficiency in Microsoft Office, especially PowerPoint and Excel for presentations and analysis.

+ Experience working on projects with sound project management disciplines.

+ Demonstrated application of risk and control principles in prior roles.

+ Self-motivated individual committed to continuous learning and development.

+ Team-oriented with a focus on delivering shared goals.

+ Must embody NatWest Markets values in all responsibilities.

The expected base annual salary range for this position is $100,000 - $145,000 at the start ofemployment. Thisis not a guarantee of compensation. The exact compensation isdetermined onan individualized basis and may vary based on skills, experience, training licensure,certificationsand location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parentalleaveand tuition reimbursement.

It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race,** **color** **, ethnicity, religion, gender, sex,** **pregnancy/childbirth,** **age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran – review "EEO Is** **The** **Law", “EEO is the law- Supplement” & “Pay Transparency Provision” posters** here (https://www.dol.gov/ofccp/regs/compliance/posters/ofccpost.htm) **.