Operations Director, Sales and Trading Operations - ORIX USA : Job Details

Purpose and Job Summary:Lument provides comprehensive capital solutions for multifamily, affordable, seniors and health care real estate. This includes a full suite of financing and strategic solutions such as investment banking, mortgage banking, private equity, a variety of direct balance sheet lending options, investment sales, and mergers and acquisitions. Reporting to the Senior Managing Director, Sales and Trading, this position will be responsible for monitoring day-to-day operational systems and processes while adhering to all internal and regulatory compliance requirements. Essential Duties and Responsibilities:Operations Management:

• Must have a strong understanding of fixed income products, settlement processes, and market practices.
• Plan, monitor, and analyze key metrics for the day-to-day performance of Sales & Trading operations to ensure efficient and timely completion of tasks.
• Manage the settlement process for fixed income securities, including CMBS, municipal bonds, treasuries, and other debt instruments.
• Ensure all trades are reconciled and discrepancies are resolved promptly.
• Monitor and manage operational risks, implementing controls to mitigate potential issues.
• Responsible for accurate and timely ticketing and settlement of fixed income securities transactions.
• Coordinate with various internal and external counterparties, resolving any potential settlement differences that may occur.
• Must have experience with SEC and FINRA examinations and working effectively with internal risk and compliance teams.
• Maintain user guides and manuals.

Regulatory Compliance

• Ensure compliance with all relevant regulatory requirements and internal policies.
• Stay updated on changes in regulations affecting fixed income trading and operations.
• Coordinate with the compliance department to implement necessary changes and controls.
• Manage the retention of fixed income deal files and account detail (electronic and physical) as required by internal policies.

Stakeholder Management

• Work closely with traders, treasury, closing and delivery, compliance, risk management, and other internal departments to support fixed income trading activities.
• Serve as the primary point of contact for operational issues related to fixed income trading.
• Build and maintain strong relationships with external counterparties, clearing agent, custodians, and other service providers.
• Other projects and duties as assigned.

ContactsThis position has frequent contact with all levels of employees and management. In addition, this role interacts with outside business partners, vendors, consultants, and other office visitors.Education, Skills and Experience:Required:

• Bachelor's degree from an accredited college or university required.
• Minimum of five years of experience in sales & trading and/or securities clearing operations.
• Agency CMBS and municipal fixed income experience.
• Series 99 required; Series 7 is preferred.
• Experience with regulatory examinations.
• Strong understanding of fixed income products and settlement processes.
• Familiar with industry platforms and systems (DTCC, Bloomberg, clearing systems, IPREO, MSRB/EMMA).
• Proficient in IT and Microsoft Office suite (Excel, Word, PowerPoint, Access, Teams).
• Excellent analytical and problem-solving skills.
• Strong attention to detail and accuracy.
• Effective communication and interpersonal skills.
• Ability to work under pressure and meet tight deadlines.
• Effective communication and interpersonal skills.
• Excellent organizational, communication, presentation, and interpersonal skills.
• Ability to plan, organize, and prioritize assignments and to meet critical and established deadlines. Ability to manage multiple assignments and transactions simultaneously.
• Demonstrated ability to maintain confidentiality and to use discretion in the performance of daily activities.
• Ability to learn quickly and demonstrated ability to work independently and as part of a high-performance team.
• Flexibility and ability to work under pressure with tight deadlines and constant interruptions. Ability to adjust priorities in a changing environment.
• Travel Requirements - Travel to various compliance related conferences 2 to 3 times a year.

Life at ORIXWe are committed to the health and well-being of our employees and offer a quality, competitive benefits package that provides valuable healthcare and financial protection for our workforce, while emphasizing a healthy work/life balance.You TimeWe want you to have the time needed to recharge and manage life with our competitive vacation policy, floating personal holidays, extensive leave options, our annual observed holidays, and more.Family CareEvery family has a different journey and ORIX USA Group is proud to offer extensive benefit programs such as: infertility coverage, adoption support, child and elder care, fully paid maternity, and generous parental leave benefits to help you and your families along the way.Flexible Work ArrangementsORIX associates enjoy the advantages of our hybrid working model with a 3 day in-office minimum requirement.ORIX USA is an equal opportunity employer, providing equal employment opportunities (EEO), and is committed to diversifying its workforce. All employees and applicants for employment will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability, genetics, sexual orientation, gender identity or expression, pregnancy, protected veteran status or other status protected by law. This policy applies to all terms and conditions of employment.