Position Purpose



To involve in the Pre-OPS Checking for Security Custody Services, Remittances, Loans and Deposits of company WM OPS WITH THE OBJECTIVE to facilitate smooth functioning of Operations Objectives of company for all the sites handled.




Responsibilities



Direct Responsibilities

i) Direct contribution to company operational permanent control framework.

ii) Responsible for the implementation of operational permanent control policies and procedures in

BAU activities.

iii) Responsible for ensuring team members comply with regulatory requirements and internal

guidelines.

iv) Responsible for reporting all incidents to the IMS team.

v) Responsible for ensuring job description are written, distributed and updated.

vi) Participate in projects in relation to WM-Operations.

vii) Act, behave appropriately and comply with the general ethical standards expected by the Bank

and relevant Regulatory Authorities, particularly in, but not limited to, proactively protecting and

safeguarding the interests of its clients, the integrity of the markets and the Group's reputation.

viii) Comply with all applicable legal, regulatory and Group's internal Compliance requirements

including, but not limited to, Financial Security, Know Your Customer due diligence, International

Financial Sanctions, Client Interest Protection, Market Integrity, Data Protection.

ix) Complete all necessary Compliance training to maintain appropriate business and compliance

level of knowledge and understanding in order to be fully competent to undertake the role.

Contributing Responsibilities


1. Responsible for signature verification and confirmed party via Sign Plus (check that the call back is

done with the authorized person(s), for amount/value less than USD100k or equivalent) of

Outward Remittance/Internal Transfer of Funds/ Securities Transfers/ Counter Services

transactions (i.e. Cheques, Deposit/Issuance of CO’s/Drafts) via FileNet-WAUT and/or E-To-Do.

2. Responsible for monitoring the SPOC mailbox, acknowledge information/document request from

TWIST filtering Team-Level B1 and contacting internal departments to provide timely and relevant

information/document for routing to Level B1.

3. Verify client signature via Sign Plus for email attachment with instruction for Buy/Sell securities

orders, Placements, DPM instruction.

4. Review and close Funds/Securities Transfer E-To-Do cases on request type “Perform Independent

Call-Back” that are done by Client Management Independent Call-Back team.

5. Check E-To-Do request type “Closure of Account” cases, to confirm cash balances (should be Nil)

and securities positions (should be Nil) in 81xxxxx and 82xxxxx, and validate the cases back to

Client Management.

6. Review E-To-Do request type “IPO-Financing / IPO-Non Financing” cases, check that there is no

"US" legal domicile, presence of a full LA agreement, i.e. JU-333 (can accept fax and email

attachment) and validate to Securities Transfer team.

7. For HK Placements only, to verify personal particulars via EUCLID and perform signature

verification via Sign Plus, and load required Client's information into FINI platform.

8. Handle “AD_MM” role for STP-Client deposits via FileNet-WAUT, i.e. to reject back to FO, so that

FO submit via E-To-Do.

9. Retrieve supporting documents and answer enquiries related to C&C, OPC, Compliance,

Governance, internal and external auditor’s checks.

10. Responsible in assisting Front Office by answering their enquiries.

11. Participate in BCP/WADI drill, process improvement initiatives, workflow change projects and

adhoc projects.

12. Periodic review and update of procedures and user guide, in relation to changes and updates in

processing steps, operational workflow, WM policies, instruction notes, approval matrix,

regulatory, etc.



Technical & Behavioral Competencies



1. Familiarity with Computer applications, MS Office, etc.

2. Familiarity with Back Office Operations, Processes and systems.

3. Knowledge on various regulations connected with Operations.

4. Operational Risk awareness

5. Product Knowledge on Wealth Management.


BEHAVIOURAL COMPETENCIES REQUIRED:


1. Communications Skills

2. Interpersonal Skills

3. Taking Initiative and Risk Management Skills

4. Client Focus