Monitor post trade compliance in Aladdin and SQL based reporting.
Implement the post-trade breach investigation and reporting process to ensure the efficient and timely resolution of guideline exceptions and operational issues.
Escalate issues to senior management and relevant third parties as necessary to confirm and resolve real post-trade guideline breaches including provision of all relevant information and documentation to support the investigation.
Complete entries on Issue Management system. Liaise with Organizational Risk to ensure the affected processes are reviewed and risk controls enhanced as necessary to prevent the incident recurring.
Daily/monthly review of non-programmable guideline restrictions (Text Rules).
Prepare and submit Compliance Certification based on requests from Client Services (CSM), Compliance and/or Legal
