AM Operations, China Securities

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