Settlement Officer (Investment Operations)

1. To provide excellent service in handling customer issues and enquiries in a timely, problem-free and responsive manner.

2. To check and / or review transactions and reports for any irregularities.

3. To review and authorize the payment instructions.

4. To supervise their subordinates on daily securities operations process and make sure that they are duly completed within timeline.

5. To ensure the subordinates to comply with the rules and regulated requirements of governing authorities.

6. To identify any suspicious transactions during the daily operations and make investigation on the source of funds.

7. To report promptly any suspicious cases of money laundering or terrorist financing case.

8. To perform checking function for securities settlement for client, counterparty/Fund House.

9. To perform checking function for corporate action of all securities.

10. To advise superior in regard to operational problems and staff grievances.

11. To arrange adequate resources to support daily settlement operations.

12. To supervise the subordinates and ensure their works meet the required standard of the bank and appraise their performance.

13. To assist his/her supervisor to improve the subordinates’ engagement and strengthen communications by regular team talk, listen-up and cross product training within and across other teams.

14. Comply with all applicable regulations, rules, codes, guidelines and standards set by regulators and the Bank, and carry out duties with high integrity; and

15. Adhere to all established risk control guidelines, procedures and measures to identify, assess, report, mitigate and monitor the risks involved in the day-to-day work.

16. To handle ad hoc assignment when required.

17. To check all internal and external reports.

18. To check Bank confirmation received from COD.

19. To assist participate actively in any ad-hoc projects for the department/Bank as required.

20. To ensure related procedure manuals and business contingency plan on products supported by their sections/teams are ready and updated in line with Bank’s policy/guidelines.

21. To ensure procedure manual for new products are available within reasonable time after products launched.

Requirement:

1. Bachelor degree or Above, preferably major in Economics, Finance/Full membership of Treasury Markets Association or equivalent professional qualifications is an advantage;

2. Required over 3 year related experience in banking sector cover the following:

●At least 1 year in supervisory level of Securities Settlement Operations;

●Sound knowledge in Securities Settlement Operations, products and services and able to lead a team to ensure excellent services are provided;

●A team player with good communication skills and risk awareness;

●Knowledge in various payment systems, such as SWIFT, RTGS etc. is an advantage;

●Good command of both spoken and written English and Cantonese.