Supervisory Bank Officer

3 days ago

Ho Chi Minh City, Vietnam HSBC Full time

-Job Advert Details

**Some careers have more impact than others.**
- If you’re looking for a career where you can make a real impression, join HSBC and discover how valued you’ll be. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

**HSBC Global Banking and Markets (GB&M**) is an emerging markets-led, financing-focused business that provides investment and financial solutions. Through our international network, we connect emerging and mature markets, covering key growth areas. We partner with our corporate, government and institutional clients to help them achieve consistent, long-term performance. Our products and services include advisory, financing, prime services, research and analysis, securities services, trading and sales and transaction banking.

We are currently seeking a high caliber professional to join our team as an Supervisory Bank Officer.

**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

You’ll achieve more when you join HSBC.

Issued by The Hongkong and Shanghai Banking Corporation Limited

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