Senior Manager/ Assistant Vice President, Equity Operations

Mandatory Reference Checking Scheme (“MRC”) for Hong Kong

The Mandatory Reference Checking Scheme is a framework to facilitate Authorized Institutions (“AIs”) to bilaterally obtain reference information during their recruitment process for certain positions, such that misconduct information in an individual’s previous employments can be provided to AIs to inform their employment decisions.

For information related to MRC Scheme, “Frequently Asked Questions for In Scope Individuals” is published by HKAB/Industry Guidelines (https://www.hkab.org.hk/en/home) or further information will be available upon request, if it is applicable to the position(s) applied.

Country of Location:

China Hong Kong

Job Responsibilities:

• Ensure all settlement and corporate actions tasks are timely settled according to client’s instruction and the rules laid down in the Procedure Manual

• Work closely with stakeholders to ensure high clients service levels

• Resolve all problematic transactions on operations and proactively work closely with internal & external parties to pre-empt potential service level issues.

• Ensure all failed trades / un-reconcile items are properly managed and resolved

• Ensure adhoc projects and supporting duties assigned are satisfactory and promptly accomplished

• Motivate, train and develop staff to achieve high quality services to clients and avoid errors

• Monitor the productivity and capacity in the team to cope with volume surges

• Fulfill and adhere to Audit, regulatory and legislative requirements

• Handle customers’ complaints and incidents.  Investigate into the dispute cases, provide suggestion and resolution to resolve them

• Develop Procedure manual or controls for avoid operational risk and finance loss

• Provide administrative support to team head (e.g. staff security control, service pledges report)

• Ensure proper risk management control of daily operational tasks, resolve business problems and irregular items

• Support the business in meeting its obligations on the prevention of Money Laundering under the Group’ s policy and standards, and under local Laws and Regulations

• Communicate with Custodian / Depository / Execution Broker effectively and ensure support business efficiently

Requirements:

• Secondary education or above

• Minimum 5 years of solid operational experience on equity product

• Experience of people management is preferred

• Thorough knowledge of banking policies, operational procedures and banking law

• Familiar with equities & investment operations process

• Proficient in MS Office

• Good command of both written and spoken English and Chinese (including Putonghua)