Senior GOO, FMO Fiduciary & Fund Services

Overview

Job Summary

Strategy

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

Contribute towards the future strategic direction and process innovation of Securities Services by keeping abreast of changes in customer needs, technology and business environment and taking pro-active steps to embrace and capitalize on these changes.

Support the roll-out of appropriate quality management systems and other initiatives by the Company / Group.

Business

To assist the Line Manager - FMO Securities Services Fund Services to manage the operations of Fund Services Processes, in ensuring consistent delivery of high quality services to customers and meeting objectives set by the Group using available resources allocated while maintaining operational risk to an accepted level.

To assist the Line Manager - Securities Services Fund Services to achieve team service quality by meeting / exceeding and set service standards and achieving zero defect for the Bank customers.

Processes

Ensure consistent delivery of high quality services to customers through meeting or exceeding customer expectation guided by the Service Level Agreement, efficiency / accuracy standards and good business processes / judgment.

Assist the Head Securities Services in leading Transfer Agency Services team to achieve quality service by meeting the prescribed objectives and goals. Assist the team management in overseeing the daily operations of the Transfer Agency team and contribute towards meeting the team’s objectives.

Assist the Head Securities Services on Transfer Agency’ individual performance, against set objectives and providing the appropriate support, motivation and guidance to staff to achieve these objectives. Contribute to the development of associates by guiding, coaching, motivating, supporting and assisting selected number of associates.

Ensure that the set productivity targets (efficiency, accuracy, etc.), defect management and processing turnaround standards are achieved (within own area of responsibility).

Verify transactions processed by Associates and authorize those that fall within own-delegated release authority. Checking of and / or approving customer’s Transfer Agency order against Transfer Agency system.

Establish and maintain close working relationship with appropriate persons in the Spoke countries, Chennai Counterparty, Group offices and within the Company itself to facilitate an open and direct communication of issues, needs, queries, etc. such that these may be responded to in an efficient, prompt and professional manner.

People & Talent

Ensure that all staff of the department continues to be equipped and developed with the necessary knowledge, skills and tools to achieve the required level of competency to facilitate them to perform their roles and responsibilities effectively, efficiently and accurately.

Facilitate the building of a performance-driven organization by setting SMART objectives, constantly reviewing the dept’s and individual performance against these objectives and providing the appropriate support, motivation and guidance to staff to achieve these objectives.

Responsible for succession planning for key positions, managing the attrition of employees and ensuring that a plan is developed and executed for high potential individuals in the department.

Key Responsibilities

Risk Management

Be guided accordingly and aware of the roles and responsibilities for money laundering prevention as stipulated in the Money Laundering Policy, Group Sanction Policy and Escalation Procedure.

Be guided accordingly and aware of the roles and responsibilities for money laundering prevention as stipulated in the Money Laundering Prevention (MLP) Group Policy, Money Laundering & Suspicious Transaction Guidelines for Securities Services Management, Suspicious Money Laundering Transaction Reporting Procedures and / or Monitoring Checklist, and Escalation Procedure for Suspicious Money Laundering Transactions.

Ensure due care and diligence is exercised on day to day operational matters relating to Money Laundering and KYC, acquiring relevant knowledge and training; thus, providing support to superiors and subordinates.

Conforming and adhering to the Team’s risk profile, by following the guidelines / policies / procedures stipulated for Operation Losses, Escalation Procedures, Securities Services Policies, etc.

Ensure that control and security policies / procedures governing all processes in the department are in place, implemented and reviewed (as and when necessary) and to ensure that these policies / procedure not only continue to be relevant and effective in mitigating risk, but also supports the need for high operational efficiency and excellent customer service.

Key Control Standards Assessment within department with nil over dues.

Follow up on corrective / preventive actions to a point where concerns arising from these findings are addressed to a satisfactory level.

Ensure awareness and full compliance of all laid down rules, regulations, policies, (including Sanctions Policy) guidelines, procedures, practices and code of conduct imposed by the Company / Group.

No major adverse findings from internal auditors or external auditors including quality audits.

Governance

Responsibilities relating to the direction, planning, structure, frameworks (e.g. processes and policies) and oversight. For example, Responsible for assessing the effectiveness of the Group’s arrangements to deliver effective governance, oversight and controls in the business and, if necessary, oversee changes in these areas; Awareness and understanding of the regulatory framework, in which the Group operates, and the regulatory requirements and expectations relevant to the role.

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 GBS Malaysia FMO Fiduciary & Fund Services - Transfer Agency 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.
• (Insert local regulator e.g. PRA / FCA prescribed responsibilities and Rationale for allocation) – N / A

(Where relevant - Additionally, for subsidiaries or relevant non -subsidiaries) – N / A

Key stakeholders

Head, Transaction Banking Operations GBS MY.

Securities Services GBSMY – Staffs all level.

Standard Chartered Bank various countries.

GBS various internal department.

Securities Services GBS India.

Countries respective Regulator, Depository, Central Bank, etc

Skills and Experience

The ability to differentiate and distinguish full suite of banking products & services, variation or similarities of products / services and in particular can set apart each product life-cycle, the parties / counter-party involved in each product

Transfer Agency knowledge / experiences

Banking / Finance / Audit

Understand on quality management systems and achieving the quality objectives and standards set.

Contributing ideas for improvement on processes, procedures, end-to-end processing, etc. to team management

Manage operational risk appropriately to avoid any operational and / or reputational losses to the Company / Group.

Qualifications

EDUCATION DEGREE HOLDER.

LANGUAGES ENGLISH

About Standard Chartered

We\'re an international bank, nimble enough to act, big enough for impact. For more than 170 years, we\'ve worked to make a positive difference for our clients, communities, and each other. 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 :

What we offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

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