- 5–7 years of progressive experience in investment operations, transaction processing, client services operations, or custody/brokerage environments.
- Demonstrated experience performing verification, validation, or first-line control functions.
- Hands-on experience with client onboarding and transaction processing workflows.
- Working exposure to bank reconciliations, transaction matching, and operational exception handling.
- Experience operating within a regulated financial services environment
PREFERRED EXPERIENCE REQUIREMENTS
- Experience within asset management, investment firms, broker-dealers, custodians, or trust companies.
- Exposure to multi-jurisdictional operations (e.g., Jamaica and Barbados).
- Direct experience supporting margin loan operations or client leverage products.
- Prior responsibility for guiding or coaching junior officers in processing standards and controls.
- Experience working with core banking, custody, trading, or portfolio management systems.
- Exposure to regulatory examinations, audits, or operational risk reviews.
Functional/ Technical Skills
FUNCTIONAL
- Attention to Detail & Control Discipline
Consistently applies high standards of accuracy, completeness, and verification in all processing and control activities. - Judgment & Risk Awareness
Demonstrates sound judgment in identifying operational and compliance risks and knowing when and how to escalate appropriately. - Process Ownership & Accountability
Takes end-to-end responsibility for assigned processes, ensuring tasks are completed accurately, on time, and in line with defined controls. - Problem Solving & Root-Cause Thinking
Able to investigate breaks, errors, and bottlenecks methodically and identify underlying causes rather than treating symptoms. - Clear Communication
Communicates effectively with internal stakeholders and CSS Level 2 processors to clarify requirements, resolve issues, and maintain processing discipline. - Time Management & Prioritization
Effectively manages multiple concurrent workflows, transaction deadlines, and control checks without compromising quality. - Collaboration & Stakeholder Engagement
Works constructively with cross-functional teams (Operations, Compliance, Treasury, IT) to resolve operational issues and maintain service continuity. - Professional Integrity & Confidentiality
Demonstrates discretion, ethical judgment, and respect for confidentiality in handling sensitive client and
transactional information.
TECHNICAL
- Transaction Processing & Booking Expertise
Strong working knowledge of end-to-end processing for fixed income instruments (Certificates of Deposit, Repurchase Agreements, Bonds), including validation, settlement readiness, and downstream impacts. - Client Onboarding & Mandate Control
Knowledge of verification of client documentation ensuring accuracy, and alignment with operational and regulatory requirements. - First-Line Risk & Control Execution
Demonstrated capability in performing Level 1 control checks, identifying processing errors and control gaps, and escalating issues in accordance with governance frameworks. - Regulatory & Compliance Knowledge
Practical knowledge of KYC, AML, FATCA, and POCA requirements and how they apply to onboarding, transaction processing, record-keeping, and reporting obligations. - Reconciliations & Cash Control
Strong understanding of daily bank reconciliations, unreconciled item analysis, transaction matching, and the operational risks associated with reconciliation breaks. - Operational Systems & Workflow Tools
Proficiency in investment banking, custody, trading, or portfolio management systems, including transaction queues, reconciliation files, and workflow/inbox management tools. - Data Accuracy & Quality Assurance
Strong attention to data integrity, validation controls, audit trails, and documentation standards within high-
volume, regulated environments
Job Responsibilities
Transaction Processing Oversight (Level 1 Control)
- Oversee the accurate and timely Level 1 booking and processing of Certificates of Deposit, Repurchase Agreements, and Bonds.
- Act as first-line verification to ensure complete, accurate, and compliant account opening and onboarding, including Group Online Onboarding platforms.
- Exercise oversight to ensure the accurate, validated, and timely production and upload of client statements for Jamaica and Barbados, including margin loan statements.
- Review and approve the accurate capture and system upload of clients’ standing instructions, ensuring enforceability and alignment with approved mandates.
- Validate the accuracy, completeness, and authorization of transactions prior to escalation to Client Services Support (CSS) Level 2.
- Ensure client mandate forms are properly completed, clearly defined, and prevent the build-up of uninvested cash balances.
- Monitor daily transaction logs and processing queues to ensure smooth operational processing and the removal of bottlenecks.
- Review and authorize special instructions and indemnities in accordance with approved policies, documented authority, and control standards.
- Provide clear, consistent, and technically sound guidance to Level 1 officers, reinforcing processing accuracy, timeliness, and control discipline.
Governance, Risk & Compliance (First Line of Defense)
- Ensure full, ongoing, and demonstrable compliance with KYC, POCA, FATCA, AML, and applicable regulatory requirements.
- Perform effective first-line control checks to confirm the completeness, accuracy, and validity of onboarding documentation, mandates, standing instructions, and transactional authority.
- Conduct periodic, risk-based reviews of client files and transactional activity.
- Identify processing errors, control gaps, and compliance issues through ongoing monitoring and review.
- Escalate material operational, mandate, and compliance risks promptly and in accordance with governance protocols.
- Maintain complete, accurate, and retrievable documentation, evidentiary records, and audit trails.
- Support internal audits, regulatory examinations, and external inspections.
Reconciliations & Cash Control Oversight
- Own the end-to-end resolution of unreconciled bank transactions across all bank accounts.
- Oversee daily reconciliation processing via Daily Reconciliation files to ensure prompt investigation, documentation, and clearance of outstanding items.
- Analyze recurring reconciliation breaks to identify root causes.
Service Performance Oversight
- Monitor SLA adherence, turnaround times, error rates, rework levels, and reconciliation aging to support service quality and control effectiveness.
Operational Coordination & Stakeholder Engagement
- Oversee the effective and timely management of the Sales Support inbox, ensuring appropriate prioritization and workflow discipline.
- Assign and route inbox transactions to CSS Level 2 processors in a controlled, transparent, and SLA-compliant manner.
- Coordinate accurate and timely transaction processing and reconciliation activities with external counterparties.
- Liaise with internal stakeholders including Treasury, Compliance, IT, MEC, and Capital Markets to resolve operational matters.
- Maintain proper, complete, and compliant filing, document retention, and records management standards.
General
- Perform other duties reasonably assigned in support of operational excellence, control integrity, and business objectives.