Position Purpose
· This role is a fixed-term Temp
· Bring direct contribution to BNPP Securities China operational permanent control framework
· Ensure that daily job tasks comply with the regulatory requirements and internal guidelines.
· Report all incidents according to the Incident Management System Implementation of operational permanent control policies and procedures in day-to-day business activities.
· Liaise with IT and related parties for new project or enhancement requirements.
Responsibilities
Direct Responsibilities
The position is responsible for the following main activities:
· Process workflows of China Securities Market Agency Operation Front to Back workflow including reference data setup, account opening, trade support, cooperate action, PnL, clearing and settlement, GL posting, reconciliation etc.
· Assist to handle local vendor trading system, finance system etc.
· Process local regulatory reporting in the subject areas, including CSRC/SSE/SZSE/CSDC/PBOC etc., to meet day to day reporting requirements including client suitability reporting, CSDC unified platform reporting
· Handle application and daily notification management required by exchange/ clearing house
· 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
- Minimize operational failure, including but not exclusively, the risk of fraud, by helping to devise, and by implementing, sufficient regular controls
- Ensure appropriate escalation to management and/or Permanent Control (or Compliance as appropriate) as soon as an issue is identified
Technical & Behavioral Competencies
· Good knowledge in China Securities Market A shares, Fund, Bond, South-connect, Options products trading/clearing/settlement workflow
· Good understanding of SSE/SZSE Product/trading rules, CSRC/ CSDC regulations, risk control requirement
· Familiarized with QFII client supporting model is a must for Agency Operation team
· Hands on experience in Operation daily activities
· Proficient in Microsoft Office
· Well-developed interpersonal, problem solving and influencing skills
· Exhibit high willingness to collaborate with all levels of the organization
· Solution driven and highly motivated
· Strong attention to detail with ability to produce accurate and quality work under tight deadlines and minimal supervision
· Fluent in Mandarin and English (spoken and written)
Specific Qualifications (if required)
- Securities practitioner qualification is a must
- Previous China securities Company setup experience is a plus
