Operations

Securities Operations is organized around three core global functions: Trading Operations, Position Management and Client Operations. It consists of the Regulatory Operations and Investment Banking Operations teams.

Trading Operations is responsible for the processing and support of the trading businesses, syndicate operations, the development of new businesses including new market access, as well as market structure and capacity planning.

Position Management is responsible for asset servicing, settlement and stock loan.

Client Operations is responsible for the processing, support and control of the institutional and prime brokerage client businesses, as well as helping to enhance the operations client experience.

IBD Operations provides logistical support to the Investment Banking division. The team works closely with bankers, coordinating the issuance of new financial products, controlling syndicate expenses, maintaining client entities and delivering document management and client team coverage services across the business.

Regulatory Operations is a global function responsible for working with all of the firm's businesses and other operational groups to design and execute controls over processes, data and infrastructure for exchange, trade and transaction, and position monitoring and reporting. Regulatory Operations is responsible for ensuring that the firm is compliant with applicable laws and regulations and reporting accuracy for new and existing business flows as well as implementing quality controls over data supporting these functions.