Sr. Securities Finance Trade Support Specialist
Daiwa Capital Markets America, New York, NY, United States
Senior-Level Securities Finance Trade Support Specialist
Incorporated in 1964, Daiwa Capital Markets America Inc. ("DCMA") is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income instruments, financial futures, and investment banking for institutional customers. DCMA's ultimate parent company is Daiwa Securities Group Inc., one of the largest brokerage and financial services groups in Japan. We are seeking a senior-level Securities Finance Trade Support Specialist to support the continued growth and increasing complexity of the Securities Lending and Delta One businesses. This role provides end-to-end middle office coverage across the stock loan lifecycle and serves as a key partner to the Front Office, ensuring operational stability, risk mitigation, and consistent trading support in a high-volume, high-risk environment. Expanded trading activity, increased volumes of Hard-to-Borrow securities, and new trading strategies require deep subject-matter expertise, strong judgment, and the ability to proactively identify and resolve issues across trade, settlement, and exposure management. Core Responsibilities: Provide end-to-end middle office trade support across the full Stock Loan lifecycle, including borrows, loans, returns, recalls, rerates, and buy-ins. Validate trade booking and manage lifecycle events to ensure accuracy and timeliness. Monitor market-to-market exposure and margin activity. Act as a primary escalation point for complex trade, settlement, and exposure issues, partnering closely with Front Office, Operations, Risk, Technology, and external counterparties. Support regulatory and control requirements, including Reg SHO Rule 204 coverage. Identify root causes of recurring breaks and contribute to process improvement, workflow optimization, and automation initiatives. Perform business analysttype activities focused on streamlining transaction flows and reducing manual processing. Collaborate closely with Front Office and other Middle and Back Office teams to resolve issues and mitigate operational and financial risk. Provide informal leadership and mentorship to junior team members, reinforcing best practices and strong operational discipline. Qualifications: Bachelor's degree and minimum of 10 years of experience in a Securities Finance or Stock Loan trade support role. Extensive experience supporting Hard-to-Borrow corporate bond and U.S. equity match book activities. Strong understanding of Delta One trading strategies and financing products. Proven experience with settlements, buy-ins, recalls, and collateral management. Demonstrated ability to independently manage high-risk, time-sensitive issues. Strong communication skills with demonstrated experience supporting Front Office trading desks. Experience with audits, regulatory reporting, and control frameworks preferred. Company Culture and Benefits: Daiwa Capital Markets America Inc. has a vibrant company culture made up of a diverse team of professionals. We seek to foster an atmosphere in which our employees understand, respect, and inspire each other. We will continue to build a culture that encourages everyone at DCMA to take pride in their work. How we work individually, with each other, and with our communities is just as important as what we do and shapes who we are as an organization. Our people are our most important asset, and as a result, we offer a competitive and robust total rewards package which includes, but is not limited to: Competitive Benefits Package (Medical, Dental and Vision) Ancillary Insurance (Basic Life Insurance, AD&D Insurance, and Short & Long-term Disability) Flexible Spending and Health Savings Accounts (FSA and HSA) Employee Assistance Program (EAP) Comprehensive health and wellness benefits Parental Leave Family building benefits 401(k) with company match Paid Time Off and holidays Professional development, educational assistance and training programs Community Engagement Programs DCMA has a hybrid work program in place, with opportunities for remote work depending on the nature of the role and needs of your department. This was implemented to provide operational efficiency while simultaneously giving employees flexibility. At a minimum, employees are expected to work in the office three days per week. DCMA provides equal employment opportunities for all applicants and employees. We are committed to providing a work environment that is free of discrimination and harassment. DCMA prohibits discrimination based on race, color, religion, gender identity, national origin, sexual orientation, age, disability, military or veteran status, or other attributes protected under applicable federal, state, or local laws.
Incorporated in 1964, Daiwa Capital Markets America Inc. ("DCMA") is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income instruments, financial futures, and investment banking for institutional customers. DCMA's ultimate parent company is Daiwa Securities Group Inc., one of the largest brokerage and financial services groups in Japan. We are seeking a senior-level Securities Finance Trade Support Specialist to support the continued growth and increasing complexity of the Securities Lending and Delta One businesses. This role provides end-to-end middle office coverage across the stock loan lifecycle and serves as a key partner to the Front Office, ensuring operational stability, risk mitigation, and consistent trading support in a high-volume, high-risk environment. Expanded trading activity, increased volumes of Hard-to-Borrow securities, and new trading strategies require deep subject-matter expertise, strong judgment, and the ability to proactively identify and resolve issues across trade, settlement, and exposure management. Core Responsibilities: Provide end-to-end middle office trade support across the full Stock Loan lifecycle, including borrows, loans, returns, recalls, rerates, and buy-ins. Validate trade booking and manage lifecycle events to ensure accuracy and timeliness. Monitor market-to-market exposure and margin activity. Act as a primary escalation point for complex trade, settlement, and exposure issues, partnering closely with Front Office, Operations, Risk, Technology, and external counterparties. Support regulatory and control requirements, including Reg SHO Rule 204 coverage. Identify root causes of recurring breaks and contribute to process improvement, workflow optimization, and automation initiatives. Perform business analysttype activities focused on streamlining transaction flows and reducing manual processing. Collaborate closely with Front Office and other Middle and Back Office teams to resolve issues and mitigate operational and financial risk. Provide informal leadership and mentorship to junior team members, reinforcing best practices and strong operational discipline. Qualifications: Bachelor's degree and minimum of 10 years of experience in a Securities Finance or Stock Loan trade support role. Extensive experience supporting Hard-to-Borrow corporate bond and U.S. equity match book activities. Strong understanding of Delta One trading strategies and financing products. Proven experience with settlements, buy-ins, recalls, and collateral management. Demonstrated ability to independently manage high-risk, time-sensitive issues. Strong communication skills with demonstrated experience supporting Front Office trading desks. Experience with audits, regulatory reporting, and control frameworks preferred. Company Culture and Benefits: Daiwa Capital Markets America Inc. has a vibrant company culture made up of a diverse team of professionals. We seek to foster an atmosphere in which our employees understand, respect, and inspire each other. We will continue to build a culture that encourages everyone at DCMA to take pride in their work. How we work individually, with each other, and with our communities is just as important as what we do and shapes who we are as an organization. Our people are our most important asset, and as a result, we offer a competitive and robust total rewards package which includes, but is not limited to: Competitive Benefits Package (Medical, Dental and Vision) Ancillary Insurance (Basic Life Insurance, AD&D Insurance, and Short & Long-term Disability) Flexible Spending and Health Savings Accounts (FSA and HSA) Employee Assistance Program (EAP) Comprehensive health and wellness benefits Parental Leave Family building benefits 401(k) with company match Paid Time Off and holidays Professional development, educational assistance and training programs Community Engagement Programs DCMA has a hybrid work program in place, with opportunities for remote work depending on the nature of the role and needs of your department. This was implemented to provide operational efficiency while simultaneously giving employees flexibility. At a minimum, employees are expected to work in the office three days per week. DCMA provides equal employment opportunities for all applicants and employees. We are committed to providing a work environment that is free of discrimination and harassment. DCMA prohibits discrimination based on race, color, religion, gender identity, national origin, sexual orientation, age, disability, military or veteran status, or other attributes protected under applicable federal, state, or local laws.