Analyst, Settlements, Securities Operations
Standard Chartered Bank
Hanoi, Vietnam, Asia
4 ngày trước

The Role Responsibilities

Strategy

  • The implementation and control policies as required by the Group and Statutory bodies.
  • Good reputation of the Bank for its quality services.
  • Contribute significantly to the division’s revenue.
  • Capacity and resources management.
  • Smooth & efficient operations of Securities Services.
  • Good relationship with internal and external stakeholders.
  • Business

  • To direct and control the day to day Settlement team through timely and accurate completion / delivery of services / products, ensuring clients’ interest are fully protected and delivering value added services to clients in accordance to established procedures, regulations and laws and Group business need.
  • Maintain a positive working relationship with the local stakeholder (e.g. regulators / VSD / BIDV) and other division within the Bank.
  • Take active participation in business growth opportunities and be subject-matter-expert in relation to developing and execution of securities products.
  • Be cost effective; optimise utilisation of resources.
  • Ensure timely response to queries; provide quality services to clients.
  • Keep update with changes in local regulations and market specification.
  • Be responsible for reporting.
  • Business support : Actively support the sales and services culture of the Bank. To provide positive feedback to clients on areas for improvement with the aim of strengthening client relationship.
  • Maintain good relationship with stakeholder specially VSD, SSC, HNX, HSX, BIDV, SBV, MOF, brokers and other stakeholders.

    Processes

  • Provide statistics and feedback on system deficiencies and strength to management for business planning
  • Check all designated areas of operations with vigilance and care to ensure customers receive the highest standard of quality services at all times
  • Review and update the clients’ standing instructions / broker contract and other documents related to settlement function
  • Provide relief / assistant to fellow officers in their absence according to Back-up plan
  • To assist in investigating trade related enquiries and complaints to ensure prompt response to clients
  • Ensure timely affirmation / settlement of all trades to attain highest standard of quality services and reliability
  • Ensure timely affirmations of all trades, including outstanding trades to attain highest standard of quality services and reliability
  • Liaise with both external parties (e.g. brokers, VSD, Stock Exchange, clearing and counter-party banks) and internal parties (e.
  • g. CMO, FM) to avoid potential losses resulting from late settlements, including withdrawal of buy-in, insufficiency of fund

  • Ensure operational efficiency by continuously meeting or exceeding agreed clients' service standards such as, 24 hours response time to enquiries, timely settlement of trades and prompt reporting of both settled and failed trades;
  • Ensure adherence to laid down control procedures / processes designated for settlement function such as to record, check and verify all shares received / delivered and payments made / received on behalf of clients are in good order and in accordance to clients' instructions (both in the system Ebbs, SeCCuRE and off the system);
  • daily settlement checklist; ...

  • Ensure the correctness of confirmation of available holding for trading (cash and securities) are provided to clients and / or brokers (if required)
  • Ensure the completeness and correctness of the pre-matching of securities transactions and any mismatch will be escalated to higher level or clients and followed up until the solution is defined and implemented
  • People and Talent

  • Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with risk and control partners.
  • Ensure the provision of ongoing training and development of people, and ensure that holders of all critical functions are suitably skilled and qualified for their roles ensuring that they have effective supervision in place to mitigate any risks.
  • Employ, engage and retain high quality people, with succession planning for critical roles.
  • Responsibility to review team structure / capacity plans.
  • Set and monitor job descriptions and objectives for direct reports and provide feedback and rewards in line with their performance against those responsibilities and objectives.
  • Risk Management

  • Fully understand and comply with Group Securities Services policies and local regulatory requirements and embed it in BAU and appropriately discharge duties as per Group Policies and Local regulations.
  • Ensure compliance to all established procedures, regulations and Group Securities Services policy guide.
  • Able to recognise implication of changes of regulations or market practices and take appropriate measures to keep the bank and clients informed and to protect their interest.
  • Keep Head, Securities Operations and Head, WB Operations / COO advised of financial and any extraordinary developments.
  • Ensure accurate and timely submission of management and local regulatory returns.

  • Manage and direct Operational Risk Management and Control for Securities Services to achieve at least an audit rating of Accepted .
  • Assist Head, Securities Operations to monitor and manage operational risks including system and channel risks of the products and highlight any potential and actual breakdown of controls to Head of WBO, Group function and CORG via Risk trackers; KPIs and Phoenix.
  • Ensure approved generic Product Programs and their corresponding Country Addendums are in place before any product is accepted for implementation.
  • Refer any instances of noncompliance to higher level for follow up and also highlight such instances to via KPIs and monthly operational risk reporting.

  • Money laundering prevention : Fully understand and comply with money laundering prevention requirements. Undertake training on MLP at least once every 24 months.
  • Ensure money laundering prevention reporting procedures is followed. Report to business MLPO (CR) should there be any money laundering related issues.

  • Human resources
  • Complete e-learning as assigned by Group time from time
  • Self-motivate, train and develop to achieve high quality service to clients and avoid errors
  • Provide guidance to staff to achieve inter-sectional teamwork and total quality business unit and maintenance of quality service
  • Regulatory & Business Conduct

  • Display exemplary conduct and live by the Group’s Values and Code of Conduct.
  • 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 Vietnam Securities Operation 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.

  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
  • Local regulators : Vietnam Securities Depository; State Securities Commission, State Bank of Vietnam, Ministry of Finance;
  • Stock Exchanges : HOSE, HNX.

    Internal

  • Managers / Officers Operations.
  • Managers / Officers of CSCU / CMO / FMO / Compliance and other departments.
  • IT manager / Officers.
  • CSG / TBSM / TB sales.
  • Network services in GSSC, Chennai / KL.
  • External

  • The Bank’s clients.
  • Local regulators : Vietnam Securities Depository; State Securities Commission, State Bank of Vietnam, Ministry of Finance;
  • Stock Exchanges : HOSE, HNX.

  • Overseas agents / Counterparts.
  • Other Responsibilities

  • BCP : Take part in departmental BCP / DRP testing whenever required. Assist the Business Continuity Manager (BCM) to develop, maintain and test BC Plans for the business function.
  • Raise awareness of BC Planning issues within the unit / department.

  • Human resources : Complete e-learnings and mandatory training as assigned by Group / HSSO Self-motivate, train and develop to achieve high quality service to clients and avoid errors.
  • To provide guidance to staff to achieve inter-sectional teamwork and total quality business unit and maintenance of quality service.

  • Business support Actively support the sales and services culture of the Bank Provide positive feedback to clients on areas for improvement with the aim of strengthening client relationship
  • Maintain good relationship with stakeholder, specially VSD, SSC, HNX, HSX, BIDV, SBV, MOF, brokers and other stakeholders
  • Our Ideal Candidate

  • University degree
  • Well verse in banking operations and practices
  • Good communication and interpersonal skills
  • Customer oriented
  • Ability to work independently and in team
  • Ability to work under pressure
  • Helpful and willing to go extra miles
  • Operational Risk Management : Introductory
  • Product knowledge : Core
  • Capacity / capability planning : Introductory
  • Process Management : Core
  • Innovation through process improvement : Core
  • Additional Job specific skill or knowledge area e.g. relevant product knowledge : Core
  • About Standard Chartered We're an international bank, nimble enough to act, big enough for impact. For more than 160 years, we've worked to make a positive difference for our clients, communities, and each other.

    We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you.

    You can count on us to celebrate your unique talents. And we can't wait to see the talents you can bring us.

    Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours.

    When you work with us, you'll see how we value difference and advocate inclusion. Together we :

  • Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
  • Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
  • Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
  • In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

  • Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations
  • Time-off including annual, parental / maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum
  • Flexible working options based around home and office locations, with flexible working patterns
  • Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
  • A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning
  • Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.
  • Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role you've applied to.

    If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process. Visit our careers website

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