Position: Senior Associate – Trade Operations

Practice: Wealth Management

Job Title: Senior Associate

Reporting To: Team Lead – Trade Operations

Experience: 3-5 years

About the role:

The Senior Associate - Trade Operations is responsible for managing the full post-trade lifecycle across multiple asset classes and custodial relationships.

Responsibilities include ensuring accurate trade capture, compliance validation, allocation, confirmation, affirmation, reconciliation, and timely settlement with custodians and prime brokers. The senior associate also enhances operational controls, resolves exceptions, maintains standard operating procedures, mentors junior staff, and drives process automation, T+1 settlement compliance, and operational readiness for evolving industry requirements.

Key Responsibilities and Duties

- Trade lifecycle management: Oversee daily trade operations for equities, fixed income, and options, ensuring accurate entry in Charles River Investment Management Solution (CRIMS), validation, routing, allocation, confirmation, affirmation, and settlement.
- Custodian and prime broker coordination: Act as the main operational contact for Pershing, Fidelity, Schwab, and Goldman Sachs. Coordinate prime brokerage and trade-away settlements, ensure accurate booking and reconciliation, and resolve failed trades and mismatched instructions.
- Settlement and exception management: Oversee Depository Trust and Clearing Corporation (DTCC) and Omgeo workflows, monitor exceptions, resolve discrepancies before settlement deadlines, and support compliance with T+1 settlement requirements and other evolving industry initiatives.
- Reconciliation and risk control:



Reconcile trades, cash, and positions daily between internal systems and custodians. Maintain accurate trade blotters and custodial records, resolve discrepancies, and document outcomes for audit and compliance.
- Process improvement and automation: Identify opportunities to enhance controls, automate workflows, and reduce manual processes. Collaborate with trading and technology teams to implement settlement and reconciliation tools and maintain up-to-date Standard Operating Procedures (SOPs).
- Cross-functional collaboration: Collaborate with other business and technology teams to ensure seamless trade flow. Support custodian onboarding and system integrations, mentor junior team members, and build operational expertise across the team.

Qualifications

- Candidates must have 3 to 5 years of hands-on trade operations experience with a U.S.-based registered investment adviser (RIA), asset manager, hedge fund, broker-dealer, or investment management organization.
- Experience with CRIMS and one or more custodian or prime brokerage platforms, including Pershing, Fidelity, Schwab, or Goldman Sachs.
- A robust understanding of trade settlement, clearing, and custody operations, including DTCC and Omgeo workflows, is essential.
- Working knowledge of equities, fixed income, and options trade lifecycles is required.
- Candidates must demonstrate the ability to resolve settlement issues, reduce trade breaks, and drive process improvements. Strong attention to detail, a proactive approach, and the ability to perform effectively under tight deadlines are required.
- Financial Industry Regulatory Authority (FINRA) Series 7 or Series 99 license.

📌 Senior Associate – Trade Operations (Bengaluru)
🏢 Opteamix
📍 Bengaluru