Officer - Financial Market Operations

Strategy

• To contribute to develop the processing and support strategy applicable to each product to ensure that it is in line with the overall CIC Operations strategy and that it meets the needs of the individual product.

Business Performance

• To follow all incoming Swift and Text confirmations of all FM products.
• To perform end to end matching confirmation.
• To create and monitor all related reports on confirmation.
• To Perform Call Back as and when required
• To perform signature verification, identify and escalate mismatch if any
• To process and follow up end to end investigation/failed trade/ past due/ exceptional cases and logs.
• To send all related report on confirmation and related investigation reports to relevant parties according to required schedule.
• To place and remove LIEN in OPICS upon request and perform LIEN reconciliation daily.
• To send all outgoing confirmations to customers in compliance with R&R with FM.
• To ensure compliance with outstanding confirmation policy by monitoring outstanding items.
• To monitor inward messages for investigation
• To pay special attention and control to critical transactions, e.g. deposits hold-under-lien, cancellations, pre-delivery or extension of deals, and all deals value same day.
• To coordinate with settlement team to settle all transactions under FM products smoothly
• To contact customers on daily work issues
• To update to FMO Head on daily exceptional cases and critical issues
• To follow up and resolve related system issues.
• To send daily FX contract to FM dealer/ WMPS dealer in charge for booking into the system.
• To be responsible to investigate outstanding items or discrepancies at all Nostro, Suspense and Sundry ACs as advised by Reconciliation Team.
• To monitor all o/s items in reconciliation report on daily basis to ensure all o/s items are addressed and resolved timely.
• To post ebbs entries for bank charge/ Nostro interest items…
• To perform end of day reconciliation (including Murex – Opics balance, FMSRE, SHAPE, eOps, Scrittura…)
• To prepare monthly deposit statements, reports as required by Regulators and related parties CIC Operations, submit to Manager and Head, FMO for checking
• To inform settlement team on o/s items in reconciliation report for clearance.
• To request Account Service team for static data setup.
• To improve internal & external relationship by providing quality service
• To response to internal and external’s enquiries timely with solution provided.
• To report to Head, FMO all system incidents or request changes and follow up
• To provide backup arrangement as and when required
• To be responsible Internal & External report on daily, monthly basis or ad-hoc and report timely to Group/FM and Head of FMO/ Head CIC Ops
• To be in charge of documentation filing
• To keep key as main holder
• To perform any assignment as required from time to time.

Services Standards

• Ensure follow properly in place procedures, to monitor the breaches to the agreed service standards for all products and escalate any deviations.
• To ensure that the Unit meets the service levels.
• To support efficient utilization of resources and adherence to established controls and procedures
• To ensure a good and co- ordinating relationship with internal customers.
• To support implement projects from time to time if required.
• To build and maintain a strong relationship with existing customers


People and Talent

• Update and maintain appropriate Capacity Models for processing and risk management across all businesses
• Encourage team spirit, strengthen internal relationships and actively involved in resolving any conflicts within the team
• To ensure all returns & statistics are submitted on time.
• To ensure high straight through rate
• To support and highlight different measures to reduce cost and improve efficiency.
• To ensure compliance with Local and Group FMO Policies from time to time

Training and Compliance

• Complete e learning on a timely manner as assigned by Group
• Read and appropriately discharge duties as per Group Policies and Local regulations
• Request and attend to all training nominated.

Risk Management & Governance

• Ensure to understand the Group compliance policies, procedures and codes including Money laundering and an effective compliance culture exist throughout service delivery function.
• Identify, escalate, manage and mitigate of all aspects of risk in accordance with all relevant product level policies.
• Be responsible for the identification, escalation, management and mitigation of all aspects of risk at the Group product level.
• Ensure products & services are delivered in compliance with local Regulatory Requirements and Client’s Enquiries Management are well monitored via GEMS
• To ensure controls are sufficiently and effectively exercised in order to prevent frauds and losses.

BCP

To assist Departmental Continuity Coordinator and assist the Business Continuity Manager (BCM) to:
• Formulate recovery strategies
• Develop, maintain and test BC Plans for the business function
• Raise awareness of BC Planning issues within the unit/department


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.
• Follow the unit’s tasks 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.

Money Laundering Prevention Responsibilities
• To ensure appropriate internal controls and procedures are in place and documented. Monitor the operation of such procedures and controls and regularly review them to ensure they reflect any changes in products, systems, policy or regulations.
• Ensure to aware of the suspicious transaction reporting procedures etc
• Ongoing self refresher training on Money Laundering Prevention.
• Ensure to understand and comply with money laundering prevention requirements.
• Ensure that training on MLP is taken at least once every 24 months for all staff and within one month from joining date for newly recruited staff including temporary/contract staff.
• Ensure money laundering prevention reporting procedure is followed in FMO.
• Report to Head, FMO should there be any money laundering related issues

Legal and Regulatory

• To ensure that the processes and controls in place for each product are in compliance with all Group legal and regulatory policies.
• Document the controls & monitoring plans, ensuring these controls & monitoring plans are practical & appropriate for the unit.
• To assist Head, FMO to manage the resolution of any compliance breaches or exceptions highlighted by the business monitoring performed within the unit.
• To support Head, FMO for undertaking cross-functional business monitoring & testing (i.e. checking the records, reviewing the transactions- of those assigned to you) and reporting findings, exceptions and results from such monitoring/testing activities.


Any other tasks related to FMO & CIC Operations & ITO as assigned time to time

Key Stakeholders
Internal
• Managers/Officers FMO on daily transactions and operational matters.
• Head of CIC Operations for guidance and matters out with your own discretionary authority
• CSG staff on customers’ enquiries/ investigation.
• CSCU on Nostro and sundry reconciliation, swift messages, system administration.
• CMO staff on payment enquiries/investigation
• CIC RM, Account Services, COBAM, CDU, CRC on matters relating to client’s accounts, static data setup, and mandate
• Financial Markets dealers on Financial Markets daily transactions
• IT Manager/ Officers on systems and other technical matters
• Support team on systems incidents
• Security and Admin Officer on stationary & other matters.
• Other hub FMO processing teams for Vietnam Financial Markets products
• Finance team on GL accounting flow, regulatory report related process
External
• Institutional counterparties on Financial Markets products

Contributes To
• Good reputation of the Bank for its quality services
• Smooth & efficient operations of FMO

• Thorough knowledge of general banking operations, group policies, local regulations, compliance and legislation on the prevention of money laundering.
• Product knowledge in foreign exchange, Deposit and Loans, Fixed income securities, Derivatives and structured Products and any other FM product and understanding of accounting principles and standards.
• Good inter-personal and communication skills.
• Complex problem resolution, change management and ability to handle pressure, conflicting priorities and constant change.

- 13th payment
- Premium Healthcare plan for you and your dependents
- 18 days full paid leave a year

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