Functional SME – Front Office / Middle Office (Capital Markets Operations)
Capital Markets – Front Office / Middle Office
Role Overview:
The Functional SME – FO/MO provides domain expertise across trade capture, execution, risk monitoring, P&L, position management, and trade validation. The SME ensures smooth trade flow from Front Office order management/execution platforms into Middle Office risk and confirmation systems, and provides functional guidance for transformation, automation, and control improvement initiatives.
The role also acts as a bridge between Trading Desks, Risk, Back Office, and IT teams for system implementations, process redesigns, and operational optimization.
Key Responsibilities:
1. Functional Expertise:
- Act as domain authority for Front Office (trading/execution) and Middle Office (trade validation, P&L, risk, and position management).
- Monitor trade lifecycle from order capture to confirmation, ensuring timely trade enrichment, validation, and exception handling.
- Support intraday P&L, risk, and exposure reporting for equities, fixed income, FX, and derivatives.
- Oversee trade allocation, confirmation, and limit checks, working closely with FO and BO teams.
2. Process Optimization & Transformation:
- Document As-Is and To-Be processes across FO/MO workflows.
- Identify automation, STP improvement, and control optimization opportunities.
- Define business and functional requirements, participate in system rollouts and enhancements (e.g., Murex upgrade, Bloomberg TOMS migration).
- Conduct UAT/SIT, process validation, and post-implementation support.
3. Risk, Control & Compliance:
- Ensure trade validation controls are implemented and monitored.
- Validate limit breaches, margin requirements, and risk exceptions.
- Support regulatory compliance (MiFID II, EMIR, SFTR, Dodd-Frank).
- Partner with Risk and Compliance teams for intraday and EOD risk reporting.
4. Stakeholder Management:
- Serve as SME liaison between trading desks, middle/back-office teams, risk, finance, and IT.
- Provide domain guidance for system integrations (OMS → EMS → MO risk system → BO settlement).
- Lead workshops, training sessions, and knowledge transfer for new processes or systems.
- Prepare management reports, dashboards, and executive summaries.
Key Deliverables:
- Process Maps (As-Is / To-Be)
- Functional Specification / Business Requirement Documents
- Risk & Control Matrices
- Trade Validation and Reconciliation Reports
- UAT/Test Case Documentation and Sign-Offs
- Transformation / Automation Recommendations
Required Skills & Qualifications:
Education: Bachelor's degree in Finance, Economics, Commerce, or related field. MBA / CFA / FRM preferred.
Experience:
- 8–15 years in Capital Markets, with strong FO/MO operations exposure.
- Hands-on experience with trade capture, execution, risk, P&L, and position management.
- Multi-asset class exposure (Equities, Fixed Income, FX, Derivatives).
- Experience in system implementation, migration, or transformation projects.
Functional Expertise Areas:
Domain Core Responsibilities
- Front Office (FO) Trade capture, order routing, execution, allocations, limit checks, P&L tracking
- Middle Office (MO) Trade validation, confirmation, intraday P&L & risk reporting, exception management
- Risk & Compliance Limit monitoring, margin & collateral checks, regulatory compliance
- Process & Automation As-Is/To-Be documentation, STP optimization, automation, control enhancements.
Applications / Tools Expertise:
1. Front Office / Order Management Systems (OMS/EMS):
- Trade Capture & Routing Ullink UL Bridge / OMS, Fidessa JTP, Bloomberg TOMS, FlexTrade, ION Trading, Charles River IMS, Aladdin OMS
- Execution & Connectivity Refinitiv FXall, Tradeweb, MarketAxess, SimCorp Dimension
2. Middle Office / Trade Validation & Risk Platforms:
- Trade Validation & Risk Murex MX.3, Calypso / Adenza, Summit, Sophis, Front Arena, Misys FusionInvest
- Confirmation & Matching Omgeo CTM, MarkitSERV, Traiana Harmony, ICE Link, DTCC DerivSERV
- Collateral & Margin Ops TriOptima, AcadiaSoft, CloudMargin, Algo Collateral
3. Reporting, Analytics & Automation:
- Reporting & MI Power BI, Tableau, QlikView, Excel VBA, SQL, Python (basic)
- Automation UiPath, Alteryx, Blue Prism, Automation Anywhere
- Workflow & Documentation MS Visio, ARIS, Signavio, JIRA, Confluence, ServiceNow
4. Regulatory & Compliance Tools:
- Tools for limit monitoring, risk reporting, collateral management, and regulatory reporting (e.g., EMIR Reporting Tool, SFTR reporting systems, MiFID II Trade Reporting Platforms).
Soft Skills:
- Strong analytical and problem-solving skills.
- Excellent communication and stakeholder engagement abilities.
- Ability to work with cross-functional and global teams.
- Experience leading workshops and providing functional guidance to technical teams.
- Strong control and governance mindset.
Preferred Exposure:
- Consulting or advisory experience in operations transformation, FO/MO due diligence, or platform migration.
- Participation in system migration / OMS upgrades (Fidessa → Bloomberg TOMS, Murex/Calypso).
- Exposure to STP optimization, API integration, and workflow automation.
- Familiarity with cross-asset derivatives, FX, and multi-asset P&L attribution processes.
- Regulatory Awareness MiFID II, EMIR, SFTR, Dodd-Frank
- Preferred Background Investment Banks, Prime Brokers, or Advisory Firms
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