Team Lead
📋 Role Overview & Responsibilities
Process and settle all DTC trades promptly, ensuring accurate reflection in the internal system.Ensure compliance with SEC and Client rules in all actions.Review RAD screen for incoming receives, compare with fail reports, and approve items.Monitor RAD deliveries for unapproved outgoing transactions; coordinate with the appropriate team to obtain approval for delivery.Confirm pair offs and partial trades for broker-to-broker and ex-clearing transactions, updating firm records.Address manual fails, including type 1 fails that do not auto-settle.Perform end-of-day balancing versus DTC records.Resolve any breaks in DTC suspense accounts.Follow up on stock record breaks and reconcile to DTC positions.
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