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In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization’s extensive global network. The Group’s operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.

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.

This position will be located in our Charlotte office.

The anticipated salary range for this role is between $78,000.00 and $125,000.00. 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.

Responsibilities

• Ensure timely execution of day-to-day settlement activities

• Investigation of settlement-related issues such as unrecognized/unmatched trades and payment disputes

• Maintain static data related to counterparty contacts and payment instructions

• Proactive management and timely escalation of emerging risks/issues

• Preparation of metrics and other reports as required

• Proactive mitigation of risk by reviewing and strengthening procedures and identifying opportunities for process enhancement

• Partner with the New York Securities Operations team to ensure an environment of tight controls, regulatory compliance and continuous product and process education

• Assistance with projects/initiatives related to enhancing current processes and controls, including planning and implementation

• Ad-hoc requests and other duties as assigned

Core Competencies/Skills

• Excellent verbal and written communication skills with ability to articulate concepts and ideas to diverse audiences

• Strong organizational skills

• High level customer service mindset with a commitment to supporting key stakeholders

• Ability to work under pressure and deliver results within tight timelines

• Ability to identify and assess problems, determine the root cause and propose recommendations and/or solutions

• Ability to utilize independent judgement and decision making

• Ability to multitask and deliver high quality results in a fast-paced environment

Qualifications and Skills

• 5-7 years of experience in Financial Services

• 2+ years of experience working in a trade support capacity

• BA/BS preferably in Accounting, Finance or Economics

• Proficiency in Bloomberg TOMS, Omgeo, Pershing, Netx360, FICC, Euroclear, or Broadridge IMPACT

• Proficiency in Microsoft Office applications

Additional Requirements

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.

We are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law. SMBC provides reasonable accommodations for employees and applicants with disabilities consistent with applicable law. If you need a reasonable accommodation during the application process, please let us know at accommodations@smbcgroup.com.