Associate, CM

About the Role

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 procedures. The role requires working in rotational shifts starting at 3:30 AM for APAC and from 11:30 AM for EMEA.

Key Responsibilities

• Work 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.
• Respond to clients through agreed modes by the deadline.
• Maintain relevant systems/databases.
• Assist 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 to minimize risk.
• 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.
• Ensure individual targets and objectives are achieved.
• Provide superior service, ensuring service and quality standards are met and minimizing re-work.
• 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.
• Accurately process, record, review, and complete various administrative operations, including but not limited to: Placing Dealing, Open Accounts of Clients, Update / Amend Client’s personal information, and Performing Settlement and Reconciliation for account activities.

Requirements & Tech Stack

• Knowledge of capital market products, equity, bonds, and transfer agency is a must.
• 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 with basic knowledge of Capital Markets / Financial Market products.
• 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 processes where necessary.
• Ability to maintain a high degree of accuracy and attention to detail.
• Numerate and literate.