China Job Openings
BNP Paribas Asset Management
AM Operations, China Securities - BNP Paribas
FULL TIME
October 24, 2024
Direct Responsibilities
- Direct contribution to BNPP operational permanent control framework.
- Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan.
- Comply with regulatory requirements and internal guidelines.
- Contribute to the reporting of all incidents according to the Incident Management System
- Ensure audit recommendations are resolved within the specific timeline.
- Responsible for the submission all regulatory reports, data, announcements, and information disclosure of the asset management business of securities companies (CSRC, PBo C, AMAC, and SAC); complete the submission and information disclosure of regular regulatory reports and temporary regulatory reports in a timely and accurately.
- Responsible for compiling the process manual of asset management business information disclosure business and improving the design of information disclosure process.
- Responsible for account setting, OTC transaction confirmation, capital settlement and other business operations of the investment trading system.
- Responsible for the daily EOD settlement of investment trading system and other business operations of the investment trading system.
- Responsible for the account management of the fundraising and TA settlement account and the custody account, including but not limited to account opening, authorization, fund transfer, reconciliation, de-register, etc.
- Responsible for reviewing the data of TA/FA business results and daily business management.
- Responsible for reviewing the terms of operation such as asset management plan contracts, business agreements, and operating memo. Closely
- the relevant laws, regulations and regulatory policies of the asset management business, and conduct research on regulatory information disclosure.
- Cooperate with IT to complete the OPS business system requirements or system upgrade testing.
- Complete other tasks assigned by the OPS head.
- For all staff other than managers (permanent control aspects):
- Direct contribution to BNPP operational permanent control framework.
- Contribute to the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan.
- Comply with regulatory requirements and internal guidelines.
- Contribute to the reporting of all incidents according to the Incident Management System.
- Ensure audit recommendations are resolved within the specific timeline.
- Ensure compliance with Company's policies/procedures and regulatory requirements, in particular with regards to the KYC responsibilities and duties, as per relevant policies and procedures, and the summary of responsibilities list attached hereto.
- Experience in TA or FA in an Operations aligned background.
- Familiar with Chinese financial markets operating and regulatory landscape.
- Passed the SAC and AMAC qualifications exam is a must.
- Have not been banned from entry into securities market.
- Of sound character and good professional ethics.
Job ID 48312473
ABOUT COMPANY
BNP Paribas
Paris, France
182656 Employees Corporate Banking
Acteur majeur de la scène financière européenne et mondiale, le Groupe BNP Paribas a pour mission de contribuer à une économie responsable et durable ...
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