Ensure full compliance with internal policies, legal requirements, and external regulatory guidelines.
Manage portfolio financing facilities and investment accounts for affluent clients, ensuring timely and accurate execution of client instructions.
Assess collateral positions and margin requirements, ensuring sufficient margin levels prior to trade execution and proactively managing asset-liability exposures.
Support portfolio financing credit facility applications, documentation reviews, and loan eligibility assessments, including name screening and Assets Under Management (AUM) evaluations.
Conduct comprehensive pre- and post-trade checks to verify investments and financing transactions, including equities, bonds, unit trusts, fixed income products, loan disbursements, repayments, switches, subscriptions, redemptions, and fund transfers.
Perform daily transaction reconciliations using Odyssey system, promptly investigate and resolving discrepancies.
Partners with Relationship Managers and internal stakeholders to resolve client and transaction-related enquiries efficiently.
Participate in system enhancement initiatives, regression testing, and User Acceptance Testing (UAT), including test planning and execution.
Drive continuous process improvement initiatives to enhance operational efficiency, strengthen controls, and improve client service delivery.
Promptly identify, escalate, and document operational issues while ensuring appropriate resolution and risk mitigation measures are implemented.