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AM Operations, China Securities

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Job type
Permanent
Schedule
Full time
Job Function
Transaction processing
Brand
BNP Paribas Asset Management
Location
Shanghai, Shanghai, China
Apply (REF: 48312473)
Last update 24.10.2024
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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.
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Discover the different professions within BNP Paribas: Operations Management

Those who work in Operations Management roles are essential to the smooth-running of our Group, and work consistently to satisfaction to our clients and teams. These roles offer stimulating careers that combine efficiency with a strong collaborative spirit.

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Why should I apply?

Basically, why would you want to join BNP Paribas over any other company?

BECAUSE YOU'RE THE KIND OF PERSON WHO WANTS...

  • What if we told you that working in our Group isn’t quite what you might think? At BNP Paribas, we do a multitude of different jobs that are constantly evolving to meet the expectations of our clients and society as a whole. Whether through everyday tasks or major projects, doing one of our jobs means making a personal commitment to taking sustainable action.

  • Feeling good about your job means bringing your whole self to work and being who you are. It’s also about having the resources you need to achieve a healthy work-life balance. Both of these are major commitments at BNP Paribas.

  • At BNP Paribas, developing your skills is as important to us as it is to you. And the skills you learn with us will help you through the rest of your working life.

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