Position Purpose

· This role is a fixed-term Temp

· Bring direct contribution to BNPP Securities China operational permanent control framework

· Ensure that daily job tasks comply with the regulatory requirements and internal guidelines. 

· Report all incidents according to the Incident Management System Implementation of operational permanent control policies and procedures in day-to-day business activities.

· Liaise with IT and related parties for new project or enhancement requirements.

Responsibilities

Direct Responsibilities

The position is responsible for the following main activities:

· Process workflows of China Securities Market Agency Operation Front to Back workflow including reference data setup, account opening, trade support, cooperate action, PnL, clearing and settlement, GL posting, reconciliation etc.

· Assist to handle local vendor trading system, finance system etc. 

· Process local regulatory reporting in the subject areas, including CSRC/SSE/SZSE/CSDC/PBOC etc., to meet day to day reporting requirements including client suitability reporting, CSDC unified platform reporting

· Handle application and daily notification management required by exchange/ clearing house 

· 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

- Minimize operational failure, including but not exclusively, the risk of fraud, by helping to devise, and by implementing, sufficient regular controls

- Ensure appropriate escalation to management and/or Permanent Control (or Compliance as appropriate) as soon as an issue is identified

Technical & Behavioral Competencies

· Good knowledge in China Securities Market A shares, Fund, Bond, South-connect, Options products trading/clearing/settlement workflow

· Good understanding of SSE/SZSE Product/trading rules, CSRC/ CSDC regulations, risk control requirement

· Familiarized with QFII client supporting model is a must for Agency Operation team

· Hands on experience in Operation daily activities 

· Proficient in Microsoft Office

· Well-developed interpersonal, problem solving and influencing skills

· Exhibit high willingness to collaborate with all levels of the organization

· Solution driven and highly motivated 

· Strong attention to detail with ability to produce accurate and quality work under tight deadlines and minimal supervision

· Fluent in Mandarin and English (spoken and written)

Specific Qualifications (if required)

-        Securities practitioner qualification is a must

-        Previous China securities Company setup experience is a plus