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Job Summary

This role could be based in India or Malaysia. When you start the application process you will be presented with a drop down menu showing all countries, please ensure that you select a country where the role is based.

The specific role, based in India, will be focused on Investment Guidelines Compliance and NAV Verification activities for all regions (i.e. APAC, MENA and HK). This role will report to the functional head of fund compliance in Malaysia and will be critical in supporting the global support function and the firm.

Key Responsibilities

Strategy
• Awareness and understanding of the Group's business strategy and model appropriate to the role.
• Contribute towards the future strategic direction and process innovation of Securities Services by keeping abreast of changes in customer needs, technology and business environment and taking pro-active steps to embrace and capitalize on these changes.
• Support the roll-out of appropriate quality management systems and other initiatives by the Company/Group.

Business
• To assist the Head Fiduciary Services to manage the operations of Fiduciary Services and NAV Verification processes (where applicable), in ensuring consistent delivery of high-quality services to customers and meeting objectives set by the Group using available resources allocated while maintaining operational risk to an accepted level.
• To assist the Head Fiduciary Services in leading Fiduciary Services and NAV Verification Team (where applicable)



to achieve service quality by meeting / exceeding and set service standards and achieving zero defect for the Bank customers.

Processes
• The specific role, based in Malaysia, will be focused on supporting Investment Guidelines Compliance activities for our clients globally. This role will report to the Head of Fund Compliance in Malaysia.
• Monitoring adherence with investment restrictions of mandates and regulations using Charles River Investment Monitoring System (CRIMS) on a post trade basis
• Ensure exceptions / breaches are properly investigated, monitored and reported accurately & timely to client &/regulators, wherever required.
• Tracking periodic exception, fund compliance and RBC reports.
• Prepare fund compliance checklists / matrix and set up investment guidelines and restrictions in CRIMS for recent client mandates / funds or revised investment guidelines/restrictions.
• Provide cover and support to the oversight and ongoing maintenance of rules/restrictions coded into CRIMS.

• Maintain records and documents accurately and in accordance with the Bank's policies and procedures (i.e. correspondence with clients, record of breaches, compliance checklists, etc.)
• Support UAT and Business Continuity Process in CRIMS, RBC and other fund compliance system.




• Ensure operations are within the guidelines and in compliance with the regulatory requirements and Bank's established procedures.
• Demonstrate vigilance and care to ensure customers and investors always receive the highest standard of quality services.
• Coordinate, as appropriate, with various fund compliance stakeholders and business areas.
• Work with team members to achieve inter-sectional teamwork and total quality business unit
• Challenge the status quo and identify opportunities for process enhancement.
• Perform other tasks which may be assigned from time to time by immediate superiors.

People & Talent
• Ensure that all staff of the department continues to be equipped and developed with the necessary knowledge, skills and tools to achieve the required level of competency to facilitate them to perform their roles and responsibilities effectively, efficiently and accurately.

Risk Management
• Be guided accordingly and aware of the roles and responsibilities for money laundering prevention as stipulated in the Money Laundering Policy, Group Sanction Policy and Escalation Procedure.
• Be guided accordingly and aware of the roles and responsibilities for money laundering prevention as stipulated in the Money Laundering Prevention (MLP) Group Policy, Money Laundering & Suspicious Transaction Guidelines for Securities Services Management, Suspicious Money Laundering Transaction Reporting Procedures and / or Monitoring Checklist, and Escalation Procedure for Suspicious Money Laundering Transactions.
• Ensure due care and diligence is exercised on day-to-day operational matters relating to Money Laundering and KYC, acquiring relevant knowledge and training; t

📌 Specialist - Fiduciary & Fund Servs (India / Malaysia) (Bengaluru)
🏢 Standard Chartered Bank
📍 Bengaluru