Analyst, Investment Operations Specialist, Global Financial Markets Operations (GFMO), Group COO

Business Function

The Group COO function, which this role supports, is committed to building an efficient, nimble, and resilient infrastructure. This is achieved through a strategic focus on productivity, quality & control, technology, people capability, and innovation, ultimately empowering the bank and delivering exceptional service to our business partners.

We are seeking a highly motivated and collaborative individual to provide operational support to the Global Financial Market (GFM) Business, regionally. This role focuses on the end-to-end processing of Structured Products, including Cash Equity, Vanilla Options, Barrier Options, Equity Swaps, global equities, structured warrants, corporate actions, and tax and regulatory reporting. The successful candidate will also actively contribute to the Data Driven Operating Model (DDOM) Journey, aligning with the Global Financial Market Operations (GFMO) Control Tower Vision.

Key Accountabilities

• To complete all work within the stipulated SLA (Service Level Agreement) and risk framework.

• To adhere to work procedures and complete all work with no audit issues.

• To complete work without Breach of Banking Secrecy or Operational Risks/Loss.

• Provide end-to-end transaction management, monitoring, and settlement support for GFM products.

• To provide timely, accurate, and complete trade validation, market operations, settlements, and corporate action processing, failed trade management, including timely and accurate resolution of post-settlement breaks.

• Interact and manage all routine matters and inquiries from internal and external clients promptly and professionally.

Product Coverage

• Cash equities in global markets, covered structured warrants, SBL, derivatives, and structured products of different asset classes, not limited to Equity Swaps, Warrants, Cash Equities, Vanilla and Barrier Options.

Job Duties & Responsibilities

Successful candidates will undergo a curated job rotation process to gain exposure to the wide spectrum of products and their related operations.

• Ensure all trades are validated timely, accurately against source documents, and completeness of trade booking.

• Resolve trade disputes and queries with GFM and counterparties promptly and professionally.

• Configure static instruments and set up settlement instructions.

• Perform pre-settlement confirmation with clients.

• Monitor trade life cycle of Structured Products such as Option expiries, barrier levels, and maturity trades, and ensure all trade settlements with counterparties are completed.

• Manage and process end-to-end life cycle of structured warrants issuances, including submission of reports to Hong Kong Securities Clearing Company Limited (HKSCC).

• End-to-end processing of SBL trades with borrowers or lenders.

• Monitor and ensure completeness and accuracy of corporation actions and resulting processes.

• Preparation and Authorisation of asset transfers e.g., SWIFT MT540, MT541, MT542, MT543.

• Perform internal and external reconciliation e.g., reconciliation of securities between custodian banks and trading systems to identify breaks.

• Resolve and escalate breaks as per escalation matrix.

• Posting of general ledger entries.

• Identify, track, and eliminate legacy work processes and exceptions.

• Participate in work improvements initiatives to increase Straight Through Processing (STP) rates, work effectiveness, and where applicable, business and operations projects.

Characteristics of Candidate

• Enjoys working with people, a strong team player with tenacity and commitment to achieve department goals.

• Self-driven with an eye for detail, resilient, and optimistic.

• Demonstrates intellectual curiosity, enjoys using data and pattern hunting in routine work to measure, identify, and eliminate recurring risks and work inefficiencies.

• Collaborates and communicates effectively across multiple stakeholders such as middle office, finance, and technology teams to meet timelines.

• Curious, enthusiastic, and experienced in handling data, leveraging technology as job aids.

Job Requirements

• Banking experience preferably in the related treasury products.

• Good understanding of end-to-end Treasury Business and Operations support functions related products and services, including market knowledge on OTC derivatives, structured products, and notes issuance.

• Experience in various operation functions which includes processing, reconciliations, funding, settlements, etc.

• Good understanding and risk awareness of the front-to-back processes.

• Knowledge in coding (e.g., Python or VBA) preferred.

• Proficient in MS Excel and MS Access.

• Proficiency or keen interest in leveraging advanced tools such as MS Power Automate, MS CoPilot, MS 365 Agents to drive process efficiencies and innovation.

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