HSBC | Manager, Transfer Agency

1 day ago

hong kong, Hong Kong SAR China HSBC Full time

Some careers shine brighter than others

If you’re looking for a career that will help you stand out, join HSBC and fulfil your potential. 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.

Securities Services provides robust and reliable solutions that enhance performance and mitigate risk, today and in the future. Working with institutional investors, banks, insurance companies, governments and multinational corporations, Securities Services offers a range of fund administration, global custody, sub-custody and clearing, and corporate trust and loan agency services.

We are currently seeking a high calibre professional to join our team as a Manager, Transfer Agency (VP) .

Principal Responsibilities

  • You will be responsible for the quality review of KYC documentation for existing and new investor accounts.
  • You will carry out the classification of the accounts in low/medium/high risk categories using the agreed risk-based approach.
  • You will ensure the proper recording of the review findings in AML database as well as the proper retention of all documentation both in physical and electronic format.
  • You will perform regular periodic checks on procedures and controls to ensure these are compliant with the current applicable corporate functional manual requirements (FIM) and with Luxembourg regulations.
  • Managing a processing/servicing team and ensure that optimum levels of operational efficiency are achieved to capitalize on the growth of registrar/transfer agency business.
  • Assisting in coaching and training subordinates/newcomers and providing guidelines when necessary to team members on various issues.
  • Planning, managing, and controlling all aspects of team operations to ensure maximum profitability and attainment of business and operating objectives.
  • To take up/lead an ad hoc project as assigned from time to time.
  • Handling Investor account opening, AML/KYC process and the related enquiry from Investor or Fund Manager.
  • Ensuring daily TA transactions of subscription, redemption, transfer, are handled timely and accurately.
  • Coordinating with City site colleagues in delivering TA service to investors and clients.
  • Maintaining internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.

Principal Accountabilities

Impact on the Business

  • Check and authorize all instructions and ensure they are processed correctly and punctually.
  • Follow up outstanding issues.

Customers / Stakeholders

  • Provide professional investor services to fund managers and investors.
  • Liaise with relevant business partners such as CS teams, BD, Centre of Excellence and other entities to ensure quality service is delivered.

Leadership & Teamwork

  • Team Management.
  • Enhance relationships with other teams within the department and other departments.
  • Lead ad hoc projects.

Operational Effectiveness & Control

  • Thorough understanding of agreed procedure/flows and client’s specific requirements.
  • Help to streamline and standardize the daily processes.
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