Associate/ Senior Associate, Prime Services, Equity Derivatives

Key Areas of Responsibilities

• Risk Management: Monitor client portfolios and transactions to identify and address any potential risks or compliance issues. Collaborate with the risk management and compliance teams to ensure adherence to regulatory guidelines and internal policies.
• Contractual Agreements: Carefully draft and review client contracts to include clear terms regarding liabilities, responsibilities, and expectations.  Include clauses that mitigate risks, such as termination rights, dispute resolution mechanisms, and indemnification provisions.
• Regular Monitoring: Continuously monitor client's financial performance and market conditions that could impact them.  Utilize risk assessment tools and metrics to evaluate ongoing relationship health.
• Communication: Maintain open and transparent communication channels with the client.  Engage in regular feedback sessions to address potential risk issues before they escalate.
• Risk Management Planning: Develop risk management plan that includes strategies for addressing potential issues with high-risk clients.  Conduct simulations or drills to prepare the team for various scenarios.
• Stakeholder Engagement: Involve stakeholders from different departments (e.g., risk, legal, compliance) in the risk management process.  Foster a culture of risk awareness across the organization.
• Risk Assessment Framework: Implement a systematic framework for client risk assessment that includes qualitative and quantitative analyses.  Use this framework to periodically review and update risk profiles for prime clients.

Requirements

• A master's degree in finance, economics, risk management, or a related field is typically required.
• Prior experience in risk management, prime services, investment banking, or a related area is preferred.
• Excellent interpersonal and communication skills to effectively engage with clients and build strong relationships.
• Detail-oriented with strong organizational skills to manage multiple client issues and tasks simultaneously.
• Problem-solving skills with the ability to analyze and resolve client issues efficiently.
• Proficiency in programming languages and Microsoft Office suite.
• Ability to work effectively in a fast-paced and dynamic environment, both independently and as part of a team.

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