Mumbai Manager Equities

Key Responsibilities

Strategy
•    Ensure compliance with all group and country policies, code of conduct, statutory regulations and laws
•    Ensure that the Bank’s and client’s interests are covered in all instances
•    Ensure that regulator, internal and group compliance requirements (including Anti Money laundering & Zero Tolerance guidelines) are compiled at all times
•    To suggest process, change if local conditions warrant making the processes stronger
•    To ensure that proper risk classification is done at the time of approving transactions  
•    To complete review of all relevant reports 
•    Ensure that audit rating of ‘satisfactory’ and above is maintained for all internal and external audits with the section
•    Ensure completion of EOD processes
•    To ensure that the month-end activities and regulatory reporting are done within defined timelines
•    Ensure punctuality and discipline
•    Work in shifts whenever required
•    Cross-skilling - To act as back-up

Business
•    Provides best in service to support to address client’s queries and issues
•    Ensures all the information transactions are processed as per the agreed deadline.
•    Ensures all the instructions are processed well with in the market deadline.
•    Ensures all the procedures laid down in the Departmental Operating Instructions and the Key Control Standards are adequately followed.

Processes
•    To manage and interact within the Unit/Brokers / Exchanges / Depositories/Regulator’s/Internal Stakeholders with respect to all equity deals, SLB, OFS trades of clients.
•    Timely and Accurate Regulatory Reporting.
•     To undertake periodic self-assessment on key controls to assess the proper functioning and adequacy of existing controls. Assist in coordinating, facilitating and promoting understanding of operational risk and in implementation and management of OR within the Unit.
•    Processing Contract Notes & Trade Instructions and confirmation of trades
•    Processing of FDI , FVCI , IDR , ADR , GDR trades
•    Confirmation of Equity Trades to Exchange
•    Settled/Failed Trade Reporting 
•    Demat trade related processing
•    To interact with the brokers to get the Depository Ids required to process demat trades and to ensure that the necessary forms for transactions are generated from the CSS system.
•    Ensure that the sectional archival, new requirement testing (UAT and UVT) and documentation, exception tracking MIS, etc is done on at good frequency intervals
•    SOP
•    Monitoring of FPI limits

People & Talent
•    To maintain good relationship with the officials of the Depository /SEBI/RBI
•    To maintain a positive working relationship with personnel of the other Sections/Divisions of the Bank 
•    Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with risk and control partners.
•    Responsibility to review team structure/ capacity plans

Risk Management
•    Ensure operational incidents and client complaints are logged and escalated to all stakeholders
•    Identifies all potential risks within business and operations and assesses, monitors, controls and mitigates accordingly
•    Ensure impeccable audit reports
•    To report any suspicious transactions immediately as per the laid down procedures

Governance
•    Regulatory Body (SEBI ; RBI , NSDL)

Regulatory & Business Conduct
•    Display exemplary conduct and live by the Group’s Values and Code of Conduct. 
•    Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
•    Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key stakeholders
•    Within SS 
•    Trade support & Fixed Income for matching of trades and trade relating queries, General banking teams for Repat and Payment of Taxes, Corporate Action team for benefits related queries, Account Documentation Static Data & DDP team for Maintenance of Fee Schedules FPI Certificates and NOC Maintenance - SI Updation, 
•    Outside SS BAM/client solution for client requirement/queries, India tax team for tax queries,

External
•    Liaising with Tax consultants, peer custodians.

Skills and Experience

•    Capital Market / Financial Market

Qualifications

•    Education: Graduate
•    Languages: Gujarati/Hindi/English

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.

Together we:

• Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

• Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
• Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
• Flexible working options based around home and office locations, with flexible working patterns.
• Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
• Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.