Strategy
Awareness and understanding of the Group’s FSS strategy and model appropriate to the role.
Business
Awareness and understanding of the wider business, economic and market environment in which the Group operates
Processes
- Handle settlement, CA and support activities under Securities Services Operation (including but not limited to CIBM/QFII/RQFII/QDII/B share clients)
- Provide clerical support to section officer/ manager in Securities Services Operation and/or other departments in the Bank
- Ensure all daily operations activities are timely completed by deadline
- Deal with local business partners such as brokers and central depository relating daily operational issues
- Deliver our services according to the service level standard agreed with clients
- Assist manager during implementation of new processes/products
- Assist manager in review DOI/SLA etc
People & Talent
Coach makers in corresponding products
Risk Management
- Ensure all daily operations comply with the rules and regulations as announced by regulatory authorities from time to time
- Ensure compliance with Group Custody Policy Guide and the Bank's policies
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.
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Key stakeholders
CMS, client service manager, client onboarding manager, sales
Other Responsibilities
Embed Here for good and Group’s brand and values in XXXX [country / business unit / team]; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats); [List all responsibilities associated with the role]
- Understand, acknowledge and comply with the requirements on individual accountabilities and responsibilities of the job set out in applicable local laws and regulations as well as SCB internal policies
理解、认同并遵守本地法律法规以及渣打内部政策中关于个人问责和职责的要求；
- Effectively ensure and intensify internal controls by keeping abreast with developments of applicable local laws and regulations on accountabilities
跟上本地问责法律法规的发展，以有效地确保并强化内控；
- Perform job duties with diligence, contribute to efforts as an individual or as a team member so as to avoid any actual or potential legal sanctions, regulatory penalties, material financial loss, or adverse reputational impact on the Bank
审慎勤勉地履行岗位职责，以个人或团队成员的身份，为避免任何导致银行遭受或可能遭受法律制裁、监管处罚、重大财务损失或声誉负面影响而做出努力；
- Be responsible for failure to follow relevant rules and processes, failure to properly perform the responsibilities, and implement corrections
对未遵守相关规范和流程、未适当履行职责以及未执行整改措施承担相应责任；
- Cooperate with any investigations or reviews on regulatory failure such as accountability review
配合任何关于违反监管规定的调查或审查，例如，问责审查。
- In the role, you will be responsible for supporting operations functions on securities services including settlement and clearing, corporate actions, reporting, client servicing and clerical support functions
