Associate, CM

About the Role

This role is within the operations team supporting global markets, responsible for the correct and timely processing of transactions relating to transfer agency, registrations, static updation, employee share plans, and settlement dealing. The incumbent will work closely within the integrated value chain and global/international interfaces.

The role requires understanding the laws of the region supported and performing day-to-day work in accordance with set procedures. It involves working in rotational shifts, starting at 3:30 AM for APAC and from 11:30 AM for EMEA.

Key Responsibilities

• Processing transactions relating to:
• Share Dealing
• Employee share plans operations
• Registrations & transfer agency
• Share Settlements
• Responding to clients through agreed modes as per deadline.
• Maintaining relevant systems/databases.
• Assisting with the preparation of client responses, presentations, and reporting as per business requirements.
• Understanding and adhering to all legislative, procedural, industry, financial, and client-specific procedures to minimize risk and escalating non-adherence as per the escalation matrix.
• Completing mandatory training by the required due date and participating in training relating to changes in procedures, company policy, values, cross-skilling, and updates to tools and systems.
• Achieving individual targets and objectives.
• Providing superior service, ensuring service and quality standards are met and minimizing re-work.
• Highlighting any instances with counterparties for adverse information, reputational risk issues, inappropriate practices, or behavior, and ensuring the escalation matrix is followed.
• Accurately processing, recording, reviewing, and completing various administrative operations, including:
• Placing Dealing
• Opening Accounts of Clients
• Updating / Amending Client’s personal information
• Performing Settlement and Reconciliation for account activities.

Requirements & Tech Stack

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

Qualifications

• A Bachelors or Master’s degree in Business, Finance, or Banking related discipline from a reputed College/University.
• Qualification in business/financial markets/law/securities industry is desirable.

Experience & Personal Attributes

• 0-2 years’ experience in Financial / Capital Markets, preferably in Transfer Agency operations.
• Basic knowledge of Capital Markets / Financial Market products.
• Knowledge of capital market products, equity, bonds, and transfer agency is a must.
• Demonstrated high level of initiative, motivation, and organizational skills.
• Analytical and problem-solving skills.
• Effective oral and written communication skills, including negotiation skills.
• Ability to liaise successfully with internal and external parties.
• Ability to work effectively in a team environment.
• Flexibility – able to meet demanding deadlines and work long hours to meet those deadlines, as required.
• 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.
• Adhere to procedural, regulatory & industry requirements.
• Participate as a positive member of the team and maintain good working relationships with colleagues.
• Cooperate with others to achieve team goals, providing support and assisting other teams across the business as required.
• Learn, maintain, and update process knowledge and KOP.
• Complete assigned tasks as per provided SLA.
• Maintain level of accuracy.
• Takes ownership of role, responsibilities, and impact on the wider team.