Manager, Fund and Fiduciary Vietnam Operations
Standard Chartered Bank
Hanoi, Vietnam, Asia
4 ngày trước

The Role Responsibilities

  • To direct and control day to day Fund and Fiduciary Service Operations, ensuring clients' interest are fully protected and delivering value added services to clients in accordance established procedures, regulations and laws and also Group business need.
  • Check Financial statements or customized reports, which are prepared by maker, to ensure that they are delivered to client on timely and accurately in accordance with requirements regulated by regulators or requested by the clients.
  • Review compliance monitoring checking at each NAV cycles and then take proper action in case any breach is found.
  • Review fund documents to ensure that Fund documents are compliance with prevailing regulations;
  • Handling client’s inquiries relating to Fund and Fiduciary Service Operations;
  • Maintain a positive working relationship with the local stakeholder (e.g. regulators / VSD / BIDV) and other division within the Bank
  • Ensure accuracy and completeness of client investment records maintenance.
  • Ensure timely delivery of report to clients within the agreed deadline and periodic reports within the timeline stipulated in prevailing regulations.
  • Be cost effective; optimise utilisation of resources
  • Ensure timely response to trade, compliance related queries; provide quality services to clients
  • Keep update with changes in local regulations and market specification
  • Support function manager on internal and external audit work (i.e. KPMG, E&Y, PWC) for audit purpose;
  • Support manager to ensure function’s compliance to Group’s policies, procedures and local regulatory requirements (KCI, CST, KCSA and internal and external audits requirements)
  • Strategy

  • Awareness and understanding of the Group’s and local business strategy and model appropriate to the role.
  • Business

  • 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

  • Manage for Domestic Fund Services sub-teams;
  • Verify and manage for preparing financial statements in accordance with requirements regulated by regulators or requested by the clients to ensure they are delivered and sent timely and accurately.
  • Review NAV calculation done by Fund Accounting team;
  • Manage all process relating to Fund Supervisory activities with Transfer Agency systems are properly and accurately.
  • Check and authorize payment instruction in an accurate and timely manner to comply with Vietnam regulations, Fund’s charter and the bank policy (if any);
  • Ensure function’s compliance to Group’s policies, procedures and local regulatory requirements (KCI, CST, KCSA and internal and external audits requirements);
  • Review compliance monitoring checking at each NAV cycles and then take proper action in case any breach is found.
  • Review fund documents to ensure that Fund documents are compliance with prevailing regulations;
  • Handling client's inquiries relating to Fund and Fiduciary Service Operations;
  • Support Direct Manager or Head of Operations on all technical issues relating to fund accounting and bank supervisory services.
  • People and Talent

  • Complete e learning as assigned by Group. Ensure the completion of e-learning of all team members
  • Self motivate, train and develop to achieve high quality service to clients and avoid errors
  • Train and develop team members to achieve inter-sectional teamwork and total quality business unit and maintenance of quality service
  • Risk Management

  • Ensure compliance to all established procedures, regulations and Group Securities Services policy guide
  • 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
  • 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
  • Assist Head of Fund and Fiduciary Services Operation to monitor and manage operational risks including system and channel risks of the products and highlight any potential and actual breakdown of controls
  • Ensure approved generic Product Programs and their corresponding Country Addendums are in place before any product is accepted for implementation.
  • Refer any instances of non compliance to higher level for follow up and also highlight such instances to via KPIs and monthly operational risk reporting.

  • Keep Head of Fund and Fiduciary Services Operation 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 Satisfactory up to line manager on any risks found during BAU activities
  • Governance

  • 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
  • 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 ethicss, 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.

  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
  • Key Stakeholders

  • ITO, TB, CLIENTS
  • Other Responsibilities

  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures
  • Our Ideal Candidate

  • University degree with 4 or 5 year operations experience in Fund services or accounting / auditing industry;
  • Broad knowledge of banking operation and banking practice.
  • Thorough knowledge of fund administration process and industry accounting standards.
  • Ability to handle variety of fast changing situations in terms of work pressure and clients’ requirements.
  • Ability to work independently and lead a small 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
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