Key Responsibilities

Strategy

Ensure compliance with all group and country policies, code of conduct, statutory regulations and laws
Ensure that the Bank’s and client’s interests are covered in all instances
Ensure that regulator, internal and group compliance requirements (including Anti Money laundering & Zero Tolerance guidelines) are compiled at all times
To suggest process, change if local conditions warrant making the processes stronger
To ensure that proper risk classification is done at the time of approving transactions
To complete review of all relevant reports
Ensure that audit rating of ‘satisfactory’ and above is maintained for all internal and external audits with the section
Ensure completion of EOD processes
To ensure that the month-end activities and regulatory reporting are done within defined timelines
Ensure punctuality and discipline
Work in shifts whenever required
Cross-skilling - To act as back-up

Business

Provides best in service to support to address client’s queries and issues




Ensures all the information transactions are processed as per the agreed deadline.
Ensures all the instructions are processed well with in the market deadline.
Ensures all the procedures laid down in the Departmental Operating Instructions and the Key Control Standards are adequately followed.

Processes

To manage and interact within the Unit/Brokers / Exchanges / Depositories/Regulator’s/Internal Stakeholders with respect to all equity deals, SLB, OFS trades of clients.
Timely and Accurate Regulatory Reporting.
To undertake periodic self-assessment on key controls to assess the proper functioning and adequacy of existing controls. Assist in coordinating, facilitating and promoting understanding of operational risk and in implementation and management of OR within the Unit.
Processing Contract Notes & Trade Instructions and confirmation of trades
Processing of FDI , FVCI , IDR , ADR , GDR trades
Confirmation of Equity Trades to Exchange
Settled/Failed Trade Repo

📌 Manager Corporate Action 1 (Mumbai)
🏢 Standard Chartered India
📍 Mumbai