Associate, CM

About the Role

A global, digitally enabled business that empowers a brighter future by connecting millions of people with their assets – safely, securely and responsibly. Through our two businesses MUFG Retirement Solutions and MUFG Corporate Markets, we partner with a diversified portfolio of global clients to provide robust, efficient and scalable services, purpose-built solutions and modern technology platforms that deliver world-class outcomes and experiences. A member of MUFG, a global financial group, we help manage regulatory complexity, improve data management and connect people with their assets, through exceptional user experience that leverages the expertise of our people combined with scalable technology, digital connectivity and data insights.

Key Responsibilities

• Share Dealing
• Employee share plans operations
• Registrations & transfer agency
• Share Settlements
• Understand the laws of the region supported and perform day-to-day work in accordance with procedure set for an activity.
• Work in rotational shifts starting at 3:30 AM for APAC and from 11:30 AM for EMEA.
• Working in 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.
• Work closely within the integrated value chain and global / international interfaces.
• Participate as a positive member of the team and maintain good working relationships with colleagues, cooperating 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.
• Respond to clients through agreed modes as per deadline.
• Maintain relevant systems/databases.
• Help with the preparation of client responses, presentations, and reporting as per business requirements.
• Understand compliance and adhere to all legislative, procedural, industry, financial, and client-specific procedures, where relevant, to minimize 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 individual targets and objectives are achieved.
• Provide superior service, ensuring service and quality standards are met and to minimize re-work.
• Live the values of the firm.
• Highlight any instances with counterparties for adverse information, reputational risk issues, inappropriate practices, or behavior.
• Ensure the escalation matrix is followed in any such events or issues identified.
• Take ownership of role, responsibilities, and impact on the wider team.
• Maintain level of accuracy.
• Complete assigned tasks as per provided SLA.
• Accurately process, record, review, and complete various administrative operations in a timely manner, including:
• Placing Dealing
• Opening Accounts of Clients
• Updating / Amending Client’s personal information
• Performing Settlement and Reconciliation for the activity on the account.

Requirements & Tech Stack

• Capital market products
• Equity
• Bonds
• Transfer agency
• Microsoft Office programs (Outlook, Word, Excel, PP)

Qualifications

• A Bachelors or Masters degree in business, Finance, or Banking related discipline from a reputed College/University.
• 0-2 years’ experience in Financial / Capital Markets, preferably in Transfer Agency operations with basic knowledge of Capital Markets / Financial Market product.
• 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, 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.
• 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.