displayName
Settlement Exception Management
workflowKind
operational
triggerType
event-driven
typicalCadence
daily
complexity
cross-team
description
Handles failed trade settlements, reconciliation breaks, and corporate
action processing — identifying settlement failures by fail reason
(insufficient securities, SSI mismatches, counterparty issues),
coordinating with brokers and custodians for resolution, processing
mandatory and voluntary corporate actions (dividends, splits, mergers,
tender offers) with proper ex-date and record-date handling, managing
partial settlements and buy-in/sell-out procedures, and tracking fail
charges and regulatory penalties. Produces exception dashboards,
fail-rate KPIs, and corporate action processing confirmations.
Excludes trade initiation and position management.