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- Awareness and understanding of the Group's business strategy and model appropriate to the role.
- Contribute towards the future strategic direction and process innovation of Securities Services by keeping abreast of changes in customer needs, technology and business environment and taking pro-active steps to embrace and capitalize on these changes.
- Support the roll-out of appropriate quality management systems and other initiatives by the Company/Group.
- To assist the Line Manager - FMO Securities Services Fund Services to manage the operations of Fund Services Processes, in ensuring consistent delivery of high quality services to customers and meeting objectives set by the Group using available resources allocated while maintaining operational risk to an accepted level.
- Ensure that all staff of the department continues to be equipped and developed with the necessary knowledge, skills and tools to achieve the required level of competency to facilitate them to perform their roles and responsibilities effectively, efficiently and accurately.
- To ensure all control/operating procedure and documentations are properly followed.
- To ensure compliance to all established procedures, regulations and the Group Guidelines.
- To keep track of changes (internal and external) affecting Clients and communicate such changes, along with impact analyses, on a pro-active basis, through newsflashes, market insights, operations guides and through other routine communication.
- Be guided accordingly and aware of the roles and responsibilities for money laundering prevention as stipulated in the Money Laundering Policy, Group Sanction Policy and Escalation Procedure.
- Be guided accordingly and aware of the roles and responsibilities for money laundering prevention as stipulated in the Money Laundering Prevention (MLP) Group Policy, Money Laundering & Suspicious Transaction Guidelines for Securities Services Management, Suspicious Money Laundering Transaction Reporting Procedures and / or Monitoring Checklist, and Escalation Procedure for Suspicious Money Laundering Transactions.
- Ensure due care and diligence is exercised on day to day operational matters relating to Money Laundering and KYC, acquiring relevant knowledge and training; thus, providing support to superiors and subordinates.
- Conforming and adhering to the Team's risk profile, by following the guidelines / policies / procedures stipulated for Operation Losses, Escalation Procedures, Securities Services Policies, etc.
- Ensure that control and security policies / procedures governing all processes in the department are in place, implemented and reviewed (as and when necessary) and to ensure that these policies / procedure not only continue to be relevant and effective in mitigating risk, but also supports the need for high operational efficiency and excellent customer service.
- Key Control Standards Assessment within department with nil over dues.
- Follow up on corrective/ preventive actions to a point where concerns arising from these findings are addressed to a satisfactory level.
- Ensure awareness and full compliance of all laid down rules, regulations, policies, (including Sanctions Policy) guidelines, procedures, practices and code of conduct imposed by the Company/Group.
- No major adverse findings from internal auditors or external auditors including quality audits.
- Responsibilities relating to the direction, planning, structure, frameworks ( processes and policies) and oversight. For example,
- Display exemplary conduct and live by the .
- Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
- Lead the [country / business unit / function/[team] to achieve the outcomes set out in the Bank's Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.]
- Good knowledge of fund administration services including fund valuationMutual / Hedge funds and offshore private funds;
- Good attention to detail with high levels of accuracy;
- Ability to work independently with minimal supervision and able to handle variety of fast changing situations in terms of work pressure and clients' requirements;
- Strong communication, client servicing and problem solving skills;
- Excellent inter-personal and communication skills and the ability to adapt these to work with both external and internal clients;
- The ability to adhere to established procedures but also to think proactively and to communicate suggested procedural changes
- Multifonds Accounting System
- Fund Accounting Knowledge / Experiences
- Banking/Finance/Audit
- MS Office Tools
- Investment Product
Senior Global Operation Officer - Kuala Lumpur, Malaysia - Standard Chartered Bank
Description
Role Responsibilities
Strategy
Business
People & Talent
Risk Management
Governance
Regulatory & Business Conduct
Qualifications
Training, licenses, memberships and certifications
Degree or Diploma in Accounting, Finance, Banking. Economics or equivalent is essential
1 to 3 years of relevant work experience in the following areas:
Our Ideal Candidate
Role Specific Technical Competencies