Direct Responsibilities
Ensure clients receive the highest standard onboarding experience
1.Work closely with business lines to prioritize onboarding pipeline
2.Define and deliver the “Onboarding Welcome Pack”
3.Handhold the client throughout onboarding processes (such as KYC, Tax, Regulatory, etc)
4.Collection of all onboarding documentation from clients
5.Pre-empt onboarding process for any blocks and/or add-on work, and escalate as necessary
6.Effectively communicate the onboarding status to clients and internal stakeholders
7.Handle onboarding related requests quickly and professionally to reduce any delay and/or loss of business
8.Responsible for all regulatory onboarding requirements and internal co-ordination with credit & legal team
9.Continually seek ways to improve the end-to-end process and journey by leveraging on client feedback
10.Ensure clients receive the highest standard available for recertification/account maintenance coordination
11.Facilitate and coordinate recertification/account maintenance process within bank policy and regulation
12.Identify and verify entities to be recertified with business, affirm recertify strategy and priorities
13.Manage and lead recertification/account maintenance
14.Handhold the client throughout the recertification/account maintenance exercise
15.Responsible for collecting all document from clients & SBO
16.Serve as ‘Primary Point of Contact’ to communicate and resolve any recertification/account maintenance process issues with business, clients and internal functions
17.Manage and coordinate ad-hoc / partial recertification and account review
Efficient & effective coordination with all internal teams
1.Ensure client needs are known and understood by all teams involved, such as Data & Doc Gap Analysis, KYC Analysis, Screening, Referential, Legal and Compliance etc.
2.Oversee all internal functions and ensure teams adhere to SLAs
3.Coordinate Reverse Due Diligence requests
Maintain and report information on onboarding services and quality provided to clients
1.Contribute to pipeline management and status tracker
Contributing Responsibilities
1.Contribute to the Permanent Control framework
2.Contribute to good quality client data
3.Ability to interpret and articulate the guidelines provided by the Group Policies and Procedures to govern the KYC/AML onboarding/recertification/account maintenance process
Technical & Behavioral Competencies
1.Minimum two years of experience in any of the following areas preferred: Client Onboarding, KYC / AML new account onboarding, Recertification / QDD specialist, KYC Advisory, Compliance, Financial Markets Regulator
2.General understanding of relevant legal agreements (ISDA/CSA, GMRA, MSFTA, Side Letters, NDA’s, ETSA, Options Agreements etc.) is a plus
3.Able to work independently and to work collaboratively across functions and regions
4.Highly motivated to enhance client experiences
5.Demonstrates strong communication skills (face-to-face, verbal, and written)
6.Able to organize, evaluate and assess information in order to make recommendations and to escalate when necessary
7.Excellent interpersonal skills
8.Self-motivated and attentive in ensuring quality
9.Able to work under pressure and tight deadlines
10.Demonstrates effective organization and time management skills
11.Excellent analytical and problem solving skills (Project management experience is a plus)
12.Fluent in Mandarin & English
13.Able to suggest and implement innovative solutions to existing and future issues
14.Proficient with Microsoft Excel and PowerPoint
15.History of achievements in similar previous roles
Direct Responsibilities
- Direct contribution to BNPP operational permanent control framework.
- Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan.
- Comply with regulatory requirements and internal guidelines.
- Contribute to the reporting of all incidents according to the Incident Management System
- Ensure audit recommendations are resolved within the specific timeline.
Business Responsibilities
- Responsible for the submission all regulatory reports, data, announcements, and information disclosure of the asset management business of securities companies (CSRC, PBoC, AMAC, and SAC); complete the submission and information disclosure of regular regulatory reports and temporary regulatory reports in a timely and accurately.
- Responsible for compiling the process manual of asset management business information disclosure business and improving the design of information disclosure process.
- Responsible for account setting, OTC transaction confirmation, capital settlement and other business operations of the investment trading system.
- Responsible for the daily EOD settlement of investment trading system and other business operations of the investment trading system.
- Responsible for the account management of the fundraising and TA settlement account and the custody account, including but not limited to account opening, authorization, fund transfer, reconciliation, de-register, etc.
- Responsible for reviewing the data of TA/FA business results and daily business management.
- Responsible for reviewing the terms of operation such as asset management plan contracts, business agreements, and operating memo.
- Closely follow the relevant laws, regulations and regulatory policies of the asset management business, and conduct research on regulatory information disclosure.
- Cooperate with IT to complete the OPS business system requirements or system upgrade testing.
- Complete other tasks assigned by the OPS head.
- For all staff other than managers (permanent control aspects):
- Direct contribution to BNPP operational permanent control framework.
- Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan.
- Comply with regulatory requirements and internal guidelines.
- Contribute to the reporting of all incidents according to the Incident Management System.
- Ensure audit recommendations are resolved within the specific timeline.
- Ensure compliance with Company’s policies/procedures and regulatory requirements, in particular with regards to the KYC responsibilities and duties, as per relevant policies and procedures, and the summary of responsibilities list attached hereto.
Technical & Behavioral Competencies
- Experience in TA or FA in an Operations aligned background.
- Familiar with Chinese financial markets operating and regulatory landscape.
Specific Qualifications
- Passed the SAC and AMAC qualifications exam is a must.
- Have not been banned from entry into securities market.
- Of sound character and good professional ethics.
Responsibilities
- Strong trading expertise in Listed Derivatives and OTC Products and preferably experience in trading Fixed Income products. Working knowledge across the following broad based list of products:
- Listed products include (not exhaustive) : Equity, ETFs, Futures and Options, Listed Open Funds (LOF), Fixed income
- Fixed Income: China Inter Bond Market
- FX Spot / Forward / Swaps / Options.
- OTC Derivatives: IRS, CDS, ILS, TRS, Swaptions.
- Manage relationships with Investment teams.
- Seek optimal client satisfaction through execution, communication, and relationships.
- Play an integral part on a ‘valued added’ basis to investment process by leveraging market knowledge and counterparty contact to improve performance and influence outcomes.
- Gather and report market intelligence to Portfolio Management teams.
- Manage relationships with brokers / counterparties.
- Maintain and develop strong, transparent and constructive relationships with brokers to obtain the best service for the firm’s clients.
- Perform control functions (level 1 controls) in line with BNPP AM policies
- Where necessary, gather information required to perform controls.
- Work with different teams (internal and external) to optimize reports used for controls thereby reducing manual work
- Review Transaction Cost Analysis (TCA) report on a daily basis where available and explain any major deviations to the desk head / direct reporting line for sign off. Where no TCA report is available, this may require the trader to preparing a P&L report each day.
- For all staff other than managers (permanent control aspects):
- Direct contribution to BNPP operational permanent control framework.
- Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
- Comply with regulatory requirements and internal guidelines
- Contribute to the reporting of all incidents according to the Incident Management System
- Ensure audit recommendations are resolved within the specific timeline.
Key Internal / External Relationships
- Internal: GTF APAC, Portfolio Managers, Risk and Compliance Teams
- External: Brokers, Vendors (eg, Hundsun), Regulators
Technical & Behavioral Competencies
- Analytical skills: Identifies all aspects of a subject and examines them in a critical way to construct a broad point of view.
- Accuracy: Constantly attentive to the precision and thoroughness of the information sent and to the quality of the work.
- Risk Management: Detects, analyzes and measures risks relating to activities in the organization and marketplace.
- Communication skills: Expresses his / her messages, both orally and in writing, in an effective, organized way.
- Teamwork: Knows how to work in a team and/or across teams, acts bearing common interests and respect for fellow team members.
- Taking Initiative: Works proactively and independently, implementing work processes, ideas and solutions.
- Results-Driven: Seeks to achieve the objectives set within the defined timeframe, continuously seeks optimum performance.
- Willingness to learn : Trading in multi assets; ability and willingness to learn to trade in different asset class.