Job Description
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.
+. 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
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.
+. 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
💡 Quick Summary
Seeking a career-building opportunity? The Associate| Associate Level 1 | WM OPS | PRE OPS CHECK position is now open for candidates interested in the MIS Executive sector. This role in Mumbai offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in MIS Executive is a plus.
