We are looking for an Operations Associate with experience in trading / brokerage operations, including customer and counterparty onboarding.
Roles and Responsibilities:
KYC:
- Conduct KYC reviews and risk profiling on new customers / counterparties onboarding.
- Perform event-triggered and periodic reviews on the existing customers/ counterparties to ensure ongoing compliance with regulatory requirements and internal policies.
- Monitor the progress of KYC review statuses diligently, ensuring that all cases are tracked accurately and completed within established timelines.
- Conduct watchlist and negative news screening and dispositioning task.
Operations:
- Check and verify all securities/trade transactions are completed, settlements instructions are processed in a timely and accurate manner.
- Review all trade matching reports and ensure all failed trades are promptly resolved.
- Ensure funding sufficiency for trade settlement.
- Processing of Settlement/Corporate action events in an accurate, timely manner and adhere to deadlines.
- Reconciliation trade/shares, corporate actions.
Requirements:
- Bachelor's degree or equivalent.
- Familiar with Financial Markets in either Securities (Equities, Bonds).
- 1-3years of experience in conducting trading and settlement, KYC reviews for institutional and accredited customers / counterparties.
- Understanding of local and international regulatory requirements related to Anti-Money Laundering and Countering the Financing of Terrorism is essential for success in this role.
- Excellent analytical skills with the ability to assess complex information objectively while maintaining meticulous attention to detail throughout the review process.
- Self-starter, comfortable executing independently in a team environment.
- CAMS certification a plus.
