Specialist, Operations, Sec Svcs-Custody Svcs, Corporate Banking, Securities & Fiduciary Svs Ops

Job Objective

Provide operations support to daily production to deliver securities services with productivity, high quality, risk consciousness and excellent client service.

Principal Responsibilities

• Efficiently and accurately execute account opening and billing processes and assist with securities transaction settlements and corporate actions.
• Process dispatches of holding statements
• Process custody account maintenance
• Perform static data maintenance and information update.
• Provide second-level client services. Handle customer inquiries in an efficient manner
• Comply with regulatory requirements (such as HKMA, MAS, SFC etc.) and Audit / Risk Management guidelines pertaining to the operations.
• Report any suspicious / outstanding transaction or incident to Team Manager, Department Head and other relevant parties for necessary action per the Incident Management Policy
• Participate in user acceptance test for system enhancements. Review business requirements and functional specifications.  Prepare test cases and conduct testing
• Participate in project initiatives and business development, e.g. customer implementation, business continuity management, review of operational procedures, policies and guidelines; specific and job-related training, etc.
• Handle regular and ad hoc tasks as designed by Team Manager and Department Head

Key Accountabilities

• Accomplish the job objective and perform the principal responsibilities.
• Achieve the agreed Key Performance Indicators (KPI) annually.

Relevant Experience

• 1 to 2 years of relevant experience in securities operations.
• The role is initially attached to one custody function (settlement, corporate action, billing or account opening). Good performers have the opportunity to rotate to other functions on a fast track for development into well rounded professionals in custody operations.

Functional / Technical Competencies (

• Knowledge of CCASS, SFC rules, SFO and HKICL
• Accuracy and thoroughness in work
• Problem-solving skills
• Interpersonal and communication skills
• Knowledge in MS office
• Result- and customer-oriented
• Positive attitude and self-motivated
• Good team player, supportive and flexible to take up team tasks
• Good command in English and Chinese (both spoken & written)

Education and Professional Qualification

• University graduates

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