[Online/HCM] Ngân Hàng HSBC Việt Nam Tuyển Dụng Supervisory Bank Officer Full-time 2023

Principal Accountabilities
Perform compliance monitoring of the funds including:
- Identify the investment restriction according to Fund Charter and Regulations.
- Prepare compliance checklist.
- Define compliance rules can be performed automatically by systems and maintain the rule for updating in system
- Perform transactional compliance check on daily basis.
- Prepare compliance reports on weekly and monthly basis.
- Escalate breach of compliance to Line Manager, Fund Manager and Compliance.
- Prepare the periodically supervisory reports required under the regulations and fund investors.
Verify the NAV of the fund as required by laws
- Prepare price sheet independently to cross check with the securities prices on NAV reports
- Independently check NAV reports before releasing them to Fund Managers
- Independently check transactions allotment relating to subscription/redemption of fund units
Confirm to Transfer Agency team and Fund Managers the sufficient money for the subscription of Open-ended fund at each dealing cycle.
Supervise payments of the funds including:
- Verify authorized signatures, check supporting documents against payment instructions and fund documents
- Contact Fund Manager to clarify, obtain supporting documents before obtaining approval from Line Manager for processing the payment.
Perform due diligence to the operations of Fund Manager relating to the fund management
Reconciliation for cash and securities of the funds including:
- Perform reconciliation the fund units of Upper funds at each NAV reporting cycle
- Check the break status of cash and securities; inform fund administration team to update the reason.
Respond to client's queries to client services related to compliance, pricing, operation, investment of Funds
as per internal requested.
Indentify and report operational risk through day-to-day operation.
other internal control tasks or and back-up for team members as assigned by Manager
Maintain HSBC control standards and follow Group Compliance Policy to minimize operational risk by:
Remaining compliant with and ensures awareness of Audit and Group requirements and other internal guidelines.
Ensuring strict compliance with government banking regulations
Timely implementing internal and external audit points together with any issues raised by external regulators
Qualifications
Basic accounting knowledge and computer literature
Knowledge of securities market and Fund services, especially about Supervisory Bank services Problem-solving and communication skill
Chief account/Law/Basic on Securities Certificate is preferred
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