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Broker Dealer Settlements Team Manager - Senior Associate
senior · Investment Banking
Join a dynamic team at the heart of global financial markets and step into a people-leadership role where your judgement, communication, and ability to drive outcomes will make a measurable impact. You will lead the Broker Dealer Settlements function supporting multiple markets and business lines, partnering closely with middle offices, custodians, and external clients to deliver seamless settlement outcomes. You’ll be empowered to strengthen controls, improve processes, and develop talent—building the leadership skills and track record needed to progress toward a VP role.
As a Broker Dealer Settlements Team Manager (Senior Associate) in the Corporate Investment Bank, you lead a team responsible for monitoring and settling equity trades across EMEA and other global markets, ensuring issues are resolved efficiently and risks are appropriately managed. You partner with internal and external stakeholders to maintain high service standards, provide clear escalation paths, and deliver continuous improvement across processes, controls, and team capability
Job Responsibilities
- Lead, coach, and performance-manage a team responsible for daily equity trade settlement across multiple markets
- Own daily workflow management (capacity planning, cut-off coverage, prioritization, and allocation of tasks) and ensure timely delivery against service levels
- Act as the primary escalation point for failing trades, high-risk items, and complex cash/stock breaks; drive root-cause resolution and preventive actions
- Maintain and enhance control standards, including risk identification, escalation, issue management, and audit readiness
- Build strong partnerships with middle office, reconciliations, custodians, and external clients; ensure high-quality responses to trade and settlement queries
- Oversee processes including conversions for physical and ADR transactions, delivery and cross-depot stock movements, and payment processing
- Support Securities Borrowing and Lending (SBL) activities and ensure appropriate coordination across stakeholders
- Review, validate, and provide oversight of daily high and credit risk reporting; escalate emerging risk themes and trends
- Drive efficiency initiatives: simplify processes, reduce breaks, improve straight-through processing, and develop runbooks/standard operating procedures
- Lead team communications: daily huddles, incident updates, and stakeholder briefings; ensure clear handovers and documented actions
- Develop talent: onboarding, training plans, skills matrices, succession planning, and continuous feedback/coaching
Required Qualifications, Capabilities, and Skills
- Demonstrated people management or team-leadership skills (direct or matrix), including coaching, delegation, and performance management
- Strong stakeholder management skills, including confident communication with senior stakeholders and the ability to influence outcomes across teams
- Excellent judgement under pressure, with strong ownership mindset and the ability to manage high volumes and market cut-offs
- Control and risk awareness: ability to identify, escalate, and mitigate issues, and embed strong operational discipline
- Strong attention to detail combined with an ability to prioritize and focus the team on the most material risks
- Analytical and problem-solving capability, including structured root-cause analysis and continuous improvement mindset
- Strong collaboration skills, with the ability to coordinate across middle office, reconciliations, custodians, and external clients
- Experience in financial services with interest in securities and investments; understanding of equity settlement lifecycle and operational dependencies
Preferred Qualifications, Capabilities, and Skills
- Knowledge of UK, European, and US markets and securities settlement processes
- Experience with physical issuance and deposit of UK securities in CREST
- Technical expertise in securities transaction processing, asset servicing, and cash management functions
- Exposure to SBL activity and related settlement impacts
- Track record of delivering efficiency/process improvement initiatives (break reduction, controls uplift, SOP standardization, or automation support)