Transaction Management - Officer

Officer – Transaction Management (Trade Settlements | Trade Confirmation | Static Data Maintenance) Job Title Officer – Transaction Management Department Middle Office / Transaction Management Reports To Assistant Vice President / Vice President Role Profile Summary The Officer role represents the first formal leadership layer within Transaction Management and is expected to combine deep operational expertise, strong risk awareness, stakeholder management capability, and team leadership while driving operational excellence, client satisfaction, and strategic transformation across the transaction lifecycle.

Summary The Officer is responsible for overseeing critical Transaction Management activities across Trade Settlements, Trade Confirmation, and Static Data Maintenance functions. The role requires operational expertise, strong risk and control awareness, effective stakeholder management, and the ability to lead process improvement initiatives. The Officer serves as a subject matter expert (SME), providing oversight and guidance to associates and senior associates while ensuring adherence to service level agreements, regulatory requirements, and operational risk standards. The role actively contributes to client service excellence, process transformation, and strategic business initiatives.

Trade Settlement Oversight Oversee daily settlement processing across global markets for Equities, Fixed Income, FX, Money Market, and Derivatives products. Monitor settlement efficiency and proactively manage high-risk or aged settlement exposures. Review and approve critical settlement exceptions and escalation decisions. Lead investigations of complex settlement failures and client-impacting issues. Coordinate with brokers, custodians, counterparties, and trading desks to resolve settlement breaks. Ensure timely processing of market claims, penalties, buy-ins, and interest claims where applicable. Monitor settlement MIS and risk indicators to identify emerging issues. Support new market openings, account launches, and product implementations. Drive reduction of settlement fails through proactive risk mitigation strategies. Trade Confirmation Management Oversee confirmation and matching activities across electronic and manual confirmation channels. Manage escalations relating to unmatched trades, allocation discrepancies, and affirmation delays. Ensure adherence to client-specific matching tolerances and same-day confirmation requirements. Review daily unmatched trade reporting and ensure timely resolution. Provide SME support for matching platforms such as CTM, Trade Suite, ALERT, Trade Nexus, SWIFT, and market utilities. Partner with Front Office, Investment Operations, and external counterparties to enhance affirmation rates. Drive STP improvement initiatives and reduce operational touchpoints. Static Data Governance & Maintenance Oversee maintenance and governance of: Standing Settlement Instructions (SSI) Counterparty setup Broker database Custodian information Account reference data Market static data Settlement location data Review and approve critical static data changes. Ensure compliance with data governance standards and maker-checker controls. Perform trend analysis on static data-related incidents and exceptions. Lead periodic data quality reviews and remediation activities. Support regulatory and audit testing relating to reference data controls. Risk, Controls & Governance Act as first line operational risk owner within the team. Ensure adherence to policies, procedures, and regulatory obligations. Identify control weaknesses and recommend remediation actions. Participate in operational incident investigations and root cause analysis. Support implementation of corrective and preventive actions. Review key risk indicators and operational performance metrics. Ensure timely completion of control attestations and governance obligations. Support internal audit, external audit, compliance