Associate, CM

Overview

This role will include the functions like Share Dealing, Employee share plans operations, Registrations & transfer agency and Share Settlements. The incumbent needs to understand the laws of the region supported and perform day to day work in accordance with procedure set for an activity. The role needs to work in rotational shifts starting at 3:30 AM for APAC and from 11.30 AM for EMEA.

Key Accountabilities and main responsibilities

Strategic Focus

You’ll be working in the operations team supporting global markets. We are responsible for the correct and timely processing of transaction relating to transfer agency, registrations, static updation, employee share plans and settlement dealing. As a strong member of the team, you will work closely within the integrated value chain and our global / international interfaces.

Knowledge of capital market products, equity, bonds, transfer agency is must.

Participate as a positive member of the team and maintain good working relationships with colleagues, including cooperating with others to achieve the team’s goals, providing support and assisting other teams across the business as required

Learn, maintain and update process knowledge and KOP.

Responding to clients through agreed mode as per deadline

Maintain relevant systems/data bases

Help with preparation of client response, presentations, reporting as per business requirements.

Understanding compliance and adhere to all legislative, procedural, industry, financial and client specific procedures, where relevant, to minimise risk and escalate non-adherence as per the escalation matrix.

Support and assist other team members as and when required

Complete mandatory training by the required due date and participate in training relating to changes in procedures, company policy, values, cross skilling and updates to tools and systems used by the business

Ensure that your individual targets and objectives are achieved

Provide superior service, ensuring service and quality standards are met and to minimise re-work

Living the values of the firm.

Operational Management

Highlight if there is any instance with counterparties for any adverse information, reputational risk issues, inappropriate practices, or behaviour on the part of the counterparty.

Ensure escalation matrix is followed in any such events or issues identified.

People Leadership

Takes ownership of role, responsibilities and impact on the wider team

Governance & Risk

Maintain level of accuracy

Complete assigned task as per provided SLA.

Experience & Personal Attributes

0-2 years’ experience in Financial / Capital Markets, preferably in Transfer Agency operations with Basic Knowledge of Capital Markets / Financial Market product.

A Bachelors or master’s degree in business Or Finance or Banking related discipline from a reputed College/University.

Demonstrated high level of initiative, motivation, and organisational skills

Analytical and problem-solving skills

Effective oral and written communication skills including negotiation skills, ability to liaise successfully with internal and external parties, and ability to work effectively in a team environment

Flexibility - able to meet demanding deadlines and work long hours to meet those deadlines, as required

Qualification in business/financial markets/law/securities industry desirable

Accurately process, record, review, and complete various administrative operations in a timely manner including but not limited, Placing Dealing, Open Accounts of Clients, Update / Amend Client’s personal information, Performing Settlement and Reconciliation for the activity on the account.

Adhere to procedural, regulatory & industry requirements

Working knowledge of Microsoft Office programs (Outlook, Word, Excel, PP)

Good communication skills – both written and oral

Excellent attention to detail – “right first time”

Good time management skills and the ability to work with support / guidance

Demonstrates awareness of good customer service

Ability to work as a team and under supervision. Demonstrates good teamwork ethic, showing willingness to assist peers and take on additional tasks

Demonstrates willingness for self-improvement and professional development

Ability to work to tight deadlines and follow process where necessary

Ability to maintain a high degree of accuracy and attention to detail

Numerate and literate