Arthur Salcevich`s client is looking for an Analyst to assist the Transaction Solutions team in Frankfurt. Apply: https://lnkd.in/dNySckkM Get in touch: Arthur.Salcevich@brockdecker.com
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📊 Analytical Insight: Demand for Skilled Transaction Monitoring Analysts in Financial Institutions 📊 As financial institutions navigate increasingly stringent regulatory landscapes, the demand for skilled transaction monitoring analysts continues to rise. Here are some compelling statistics that underscore this trend: 1️⃣ Growth in Job Postings: Job market analytics reveal a significant increase in postings for transaction monitoring analysts, reflecting a robust demand for professionals adept at detecting and mitigating financial crime risks. 2️⃣ Industry Insights: According to recent reports, financial institutions are prioritizing the recruitment of analysts with expertise in AML (Anti-Money Laundering) compliance and transaction monitoring systems to enhance their regulatory compliance frameworks. 3️⃣ Global Perspective: Across key financial hubs, such as New York, London, and Singapore, there has been a notable surge in hiring for AML analysts, driven by evolving regulatory requirements and the need to combat sophisticated financial crimes. 4️⃣ Skills in Focus: Employers seek candidates proficient in data analysis, risk assessment, and the use of advanced monitoring tools. Expertise in identifying suspicious activities and adhering to regulatory standards remains critical. 5️⃣ Career Opportunities: The outlook for transaction monitoring analysts remains promising, with opportunities for career advancement and professional growth as institutions invest in strengthening their AML capabilities. 🔍 Join the Transaction Monitoring Workshop: Enhance your skills and knowledge in AML compliance and transaction monitoring! Our workshop offers practical insights and hands-on training to equip you with the expertise sought after by financial institutions worldwide. 👉 Check out the workshop details and register here & also free workshop recording https://lnkd.in/gSyEePrW Stay ahead in your career and contribute effectively to financial integrity and regulatory compliance! #AML #TransactionMonitoring #FinancialCrime #Compliance #Finance #AntiMoneyLaundering #Banking #LinkedIn
Mastering art of Transaction Monitoring
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Challenge: A clear line of sight into cash availability throughout the day is required to minimize the risk of overdrafts in certain markets, cost of overdrafts, and impact of excess cash drag on investment returns. Observation: Portfolio Managers are challenged to monitor cash availability for global portfolios across APAC, EMEA and the Americas due to the fluidity of data throughout the global 24hr clock. The following is a subset of activity that impacts what can be included in End of Day (EoD) and Start of Day (SoD) data: - Trade Activity: Failing trades or late day trades that miss the service provider’s cutoff and don’t make it to IBOR. - Non-Custodied & PB Assets: Not all assets are held at traditional custodians, so relying solely on a custody balance could present risk. - Valuation Close: Regional portfolios can maintain regional valuation closes, but global portfolios generally wait until the Americas’ valuation close. This compresses end of day processes and impacts timeliness of data availability for the APAC trading day. - Corporate Actions & Income Processing: Rolling IBOR dates to the next day and kicking off the process to project corporate actions, income events, and maturities to generate SoD likely occurs early in the morning EST and midday for APAC. - Transfer Agency: Data availability varies and can range from 12am – 8am (EST) in extreme circumstances, which is during or after EoD and SoD are delivered. Suggestion: Investment Managers and service providers work together to identify process improvement opportunities by documenting a duration-based workflow with swimlanes that include Distribution Network/Advisors, Custodians, Transfer Agent(s), Fund Administrator(s), Middle Office, Data Solutions/Providers, & Front Office. Consider receiving a subset of activity directly into your OMS and replacing the data with IBOR data the following day, or consume intra-day data from your Middle Office provider. Thank you for reading my Securities Services Insights, which based on my experience supporting clients through sales, implementations, and BAU. Hopefully you find this helpful. #SecuritiesServices
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Ex-Ante Risk Analytics | Market Risk | Data Management | Middle & Back Office | OTC Derivatives | Post-Trade | Portfolio Insights | Cloud Native Solutions | AWS | Buy-Side | Portfolio Management Solutions
Buyside: The need for Custom Risk Modeling for Multi-Asset Portfolios Portfolios with multiple asset types, particularly complex derivatives (say OTC Derivatives) and private market assets, require custom risk modeling. Unlike traditional instruments, these assets are often less mature or traded over-the-counter, making them more difficult to model accurately with standard approaches. Custom modeling is essential because these models may behave unpredictably due to the unique nature of these instruments. Analysts and managers must periodically review and tune the models to ensure they remain appropriate for current market conditions. This tuning process is vital to capture the true risks of the specific assets in the portfolio. By enabling custom modeling, firms can ensure transparency, providing a deeper understanding of risk analytics for these complex instruments. Having control over custom models also gives portfolio managers and asset servicing providers, such as fund administrators or OCIOs, the ability to take ownership of the results. This ownership fosters trust and reliability in the services offered, while the increased transparency enables smarter, more informed decision-making. TL;DR Custom risk modeling is critical for managing portfolios with complex assets like derivatives and private markets. It ensures transparency, facilitates periodic model tuning, and provides greater control and understanding of the risks, benefiting both managers and service providers. Image Credit: ChatGPT-4o #ocio #fundadministrator #marketrisk #buyside #privatemarkets #otcderivatives
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Exp Senior Business Analyst | Digital Marketing Enthusiast | SAFe Certified | Cap Market, Invest Banking ,Midoffice, Backoffice | Treasury, Recon ,Change Mgmt | Product Owner | Ex . Trafigura, Edelweiss , Infosys
🚀 Optimizing Post-Trade Processes with Root Cause Analysis (RCA) 🔍 As a Senior Business Analyst in the Capital Markets space, I’ve found that the post-trade process can often be prone to inefficiencies, leading to operational delays and increased costs. 📉 Recently, I utilized Root Cause Analysis (RCA) to address settlement failures in the post-trade process for a client dealing with cross-border transactions. These failures were leading to increased operational risk and penalties. 🔑 Here’s how I tackled the issue: Defined the Problem: Frequent settlement delays in post-trade operations, leading to financial penalties. Gathered Data: Analyzed trade execution, settlement cycles, and communication flows between the custodians, brokers, and clearinghouses. Identified Root Cause: Discovered miscommunication in the trade matching process and discrepancies in time zone management for international settlements. Implemented Solutions: Streamlined communication between parties with automated trade matching, and optimized settlement schedules to account for time zone differences. Measured Impact: Resulted in a 25% reduction in settlement errors and saved the client significant costs related to failed trades over the next quarter. 💡 RCA is critical in the post-trade process to reduce operational risk, improve settlement efficiency, and enhance client satisfaction. By addressing the root cause, you prevent recurring issues, ensuring smoother operations in capital markets. 👉 How do you handle inefficiencies in your post-trade processes? Let’s share best practices in the comments! #BusinessAnalysis #CapitalMarkets #PostTradeProcess #RootCauseAnalysis #OperationalEfficiency #RiskManagement
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In the multi-asset context, a skilled analyst will find more than just a surface-level insight from valuation signals... Here's how to use valuation signals to get ahead, detect risks, and optimize portfolio allocations through the cycle: https://lnkd.in/gpwJxZMV
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The Evolving Role of FIX Analysts in Agency Trading! As the financial landscape evolves, so do the roles within it. One such evolving role is that of the FIX Analyst in agency trading. In today's dynamic markets, FIX (Financial Information Exchange) protocol plays a pivotal role in enabling seamless electronic communication between traders, brokers, and exchanges. As agencies increasingly rely on electronic trading platforms, the need for skilled professionals who can navigate, optimize, and troubleshoot FIX connections becomes paramount. FIX Analysts in agency trading are the architects behind the smooth flow of trading data, ensuring orders are executed efficiently and accurately. From designing and implementing FIX connectivity solutions to monitoring and troubleshooting real-time trading issues, these professionals are the backbone of modern trading operations. Key responsibilities of a FIX Analyst include: 1. FIX Protocol Expertise: Deep understanding of the FIX protocol and its implementation across various trading systems and platforms. 2. Connectivity Management: Configuring, testing, and maintaining FIX connections between agency traders and counterparties. 3. Performance Optimization: Identifying bottlenecks and inefficiencies in FIX connectivity to improve trade execution speed and reliability. 4. Problem Solving: Rapidly diagnosing and resolving FIX-related issues to minimize trading disruptions and ensure regulatory compliance. 5. Collaboration: Working closely with traders, developers, and IT support teams to streamline trading workflows and enhance overall system performance. Being a FIX Analyst is like being the conductor of a symphony orchestra where the instruments are electronic trading systems. You're the one making sure every note plays smoothly, every instrument is in tune, and if someone hits a wrong key, you're there to quickly fix it before the audience notices. It's a delicate dance between technology and precision, with just a touch of magic to keep things harmonious. #FIXAnalyst #AgencyTrading #FinancialMarkets #FIXATDL FIX Trading Community Picture credit : Prerak Sanghvi
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Financial institutions are increasingly adopting workflow orchestration tools instead of building technology from scratch. By leveraging out-of-the-box client lifecycle management solutions, they can stay nimble and competitive in a rapidly evolving regulatory landscape. In a recent Q&A, Marissa T., Product Manager at S&P Global Market Intelligence, shares her insights on this shift. With over ten years of experience in onboarding, she has successfully navigated KYC requirements and legal negotiations for large asset managers. How are you adapting to these technological changes? Share your thoughts in the comments! 💬 #FinancialServices #Technology #ClientLifecycleManagement #RegulatoryCompliance #Innovation #SPGlobal
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Financial institutions are increasingly adopting workflow orchestration tools instead of building technology from scratch. By leveraging out-of-the-box client lifecycle management solutions, they can stay nimble and competitive in a rapidly evolving regulatory landscape. In a recent Q&A, Marissa T., Product Manager at S&P Global Market Intelligence, shares her insights on this shift. With over ten years of experience in onboarding, she has successfully navigated KYC requirements and legal negotiations for large asset managers. How are you adapting to these technological changes? Share your thoughts in the comments! 💬 #FinancialServices #Technology #ClientLifecycleManagement #RegulatoryCompliance #Innovation #SPGlobal
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An excellent article from Heamanth K on transaction monitoring Investigation 🔍 Step-by-Step Investigation: Implementing a Risk-Based Approach to Transaction Monitoring 🔍 In today's dynamic financial landscape, adopting a risk-based approach to transaction monitoring is crucial for effective Anti-Money Laundering (AML) compliance. Here’s a practical step-by-step guide to conducting a thorough investigation: 1️⃣ Risk Assessment: Begin by conducting a comprehensive risk assessment to identify and prioritize the highest-risk transaction types, customer profiles, and geographical locations. This assessment helps in focusing resources where they are most needed. 2️⃣ Scenario Development: Based on the risk assessment, develop specific transaction monitoring scenarios tailored to detect suspicious activities associated with identified risks. These scenarios should align with regulatory requirements and internal policies. 3️⃣ Data Collection: Gather relevant data sources for transaction monitoring, including transactional data, customer information, and external data feeds (e.g., sanctions lists, adverse media). Ensure data quality and consistency for accurate analysis. 4️⃣ Threshold Setting: Establish thresholds for triggering alerts within transaction monitoring systems. These thresholds should be based on risk levels identified during the risk assessment and adjusted periodically to reflect changes in risk profiles. 5️⃣ Alert Generation: Monitor transactions in real-time or through periodic reviews to generate alerts based on predefined scenarios and thresholds. Alerts should be reviewed promptly to assess their validity and escalate as necessary. 6️⃣ Investigation and Analysis: Conduct in-depth investigations of alerted transactions, including reviewing transactional details, customer profiles, and supporting documentation. Utilize advanced analytics and investigative tools to uncover suspicious patterns or anomalies. 7️⃣ Decision Making: Make informed decisions based on investigation findings, such as filing suspicious activity reports (SARs), escalating cases for further review, or clearing transactions as legitimate. Document all decisions and actions taken. 8️⃣ Reporting and Documentation: Maintain comprehensive records of transaction monitoring activities, including alerts generated, investigations conducted, and outcomes. Prepare regulatory reports and management dashboards to demonstrate compliance and effectiveness. 9️⃣ Continuous Improvement: Continuously evaluate and refine transaction monitoring processes based on feedback, emerging risks, and regulatory changes. Conduct periodic reviews of scenarios, thresholds, and data sources to enhance detection capabilities. To understand and have better understanding on Transaction monitoring We have an Certification course https://lnkd.in/gSyEePrW
Mastering art of Transaction Monitoring
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New report alert: legacy data-sharing is costing firms due to many manual touches. Operations professionals are seeking new tools and methods to ensure better and faster processes. Find out what’s happening in my new study!
*New report* Outdated systems for managing and sharing data are costing capital markets firms millions of dollars every year and leaving them exposed to operational and regulatory risks, according to a new study in collaboration with Axoni. “For some capital markets firms, manual data reconciliation adds millions of dollars in expenses every year,” says Audrey Costabile PhD, Senior Analyst for Coalition Greenwich Market Structure & Technology and author of Operations Data-Sharing: A Critical Time to Innovate. “Across the industry, firms must embrace innovative data tools if they are to meet changing regulatory and operational demands while also ensuring data privacy, accuracy and efficiency.” https://lnkd.in/e34zytJZ
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