ID del contrato

Role Purpose:

Work for Post Execution Processing of securities business for both Tokyo booking and non Tokyo booking

Trade Capturer, Validate and Enrich Trades

Manage trade confirmation related task such as pre confirmation and legal confirmation

Monitor trade confirm matching status

Perform reconciliation task for front to back system

Work for event monitoring

Communicate with client and Sales as the client service window

Manage and mitigate the operational risk associated with trade capturing and booking

Implement and monitor the booking and settlement status to meet Japan Client service – zero tolerance of error

Actively engage in New Product Due Diligence and liaise with stakeholders, IT, Finance, Legal, Compliance, Product Control, etc. to streamline workflow process

Oversight of Offshore governance

Principal Accountabilities:

  • The role requires working closely with management in various locations and key stakeholders around the firm to develop short, medium and long-term goals for managing operation risk.
  • Mitigate day-to-day operational risk for Japan Markets Operations.
  • Enhance and assist with the development of confirmation matching procedures and processes required to provide clients with a smooth and efficient operational experience.
  • Work closely with CCO to implement our daily control
  • Observe and maintain internal control standards associated with HSBC policies / FIM standards across Legal, Compliance, Credit, Operations, and other key stakeholder groups.
  • Monitor daily processing by GSC teams and work closely to fill any gaps on risk control process
  • Aware of the operational risk scenario associated with the role and acts in a manner that takes account of operational risk considerations.
  • Observe and maintain internal control standards associated with HSBC policies / FIM requirements, across Legal, Compliance, Credit, Operations and other key stakeholder groups.
  • Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
Understands, follows and demonstrates compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which the jobholder is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy.

Postulación
  • Japanese language skill is essential
  • +5 years within an investment banking organization
  • Knowledge of securities products is essential.
  • Experience working as Middle Office (or back office) of securities firm
  • Experience working under the environment where seek for the mind-set of change.
  • Proven experience in change/project management in a growing / evolving business
  • Successful at working with management and senior stakeholders at different levels

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