Job Purpose
- To ensure margin client / company exposure within permitted threshold.
- To ensure daily operation processes are in compliance with the regulatory requirements and internal policies.
- To oversee / review credit assessment for financing products and issuance of security docs.
- To support financing business from opening to closing of account including custodian of security docs.
- Effective monitoring on overall risk exposure in respect of derivatives and securities borrowing and lending activities.
1) Share Margin Financing
- Monitor and supervise the team's operations to ensure effective margin calls and exercise force selling where applicable.
- Ensure timely submission of periodical internal and regulatory reporting.
- Ensure timely delivery of daily monitoring report for all financing accounts for effective collateral management.
- Attending to all required reporting and reviewing in ShARP system.
- Oversee and ensure credit assessment with approval and issuance of security documentation within agreed turnaround time.
- Review and recommend credit proposal for periodic credit review proposal for higher Authority decision.
- Ensure periodic review on Margin Credit Scorecard Methodology parameter to mitigate credit risk.
- Ensure compliance of Regional Share Margin Financing Framework in respect of counter.
- Monitoring of overall exposure by highlighting when exposure on single counter and/or single client increase and reaching the allowable threshold level.
2) Derivatives and Securities Borrowing & Lending
- Oversees the effective monitoring on risk exposure for futures & options and CFD activities including trading limits, prompt issuance of margin call notices, recovery of losses, withdrawal of funds and position limits.
- Supervises the effective risk management and monitoring on risk exposure for SBL counterparties including prompt issuance of margin call notices.
- Ensures preparation of timely management reports and statistics reports.
- Provides advisory support for futures and equities business deals to facilitate business units in their execution of strategic objectives.
- To maintain a good rapport with clients / DRs / regulators.
- Ensure clients requests such as deposits, withdrawal, corporate action and revision of terms are being processed timely & accurately.
- Drive continuous improvement through automation, process reviews, and enhancements to ensure effective risk monitoring and alignment of reports with current business requirements.
Educational Qualifications & Years of Relevant Experience
- Bachelor's Degree / industry experience of more than 10 years in leading role.
- Minimum 10 years of securities / banking industry experience.
- SC Licensing Examination is an added advantage.
Skills
- Fluent in English and Malay (both written and spoken).
- Proficiency in Mandarin is an added advantage.
- Proficient in MS Word, Excel, PowerPoint, and webbased applications.
- Strong technical knowledge of share margin products.
- Able to perform effectively under pressure while maintaining selfcontrol.
Personal Attributes
- Strong reputation and network in the wholesale banking community.
- Effective communicator with ability to resolve customer issues and give constructive feedback.
- Skilled in delegation, coaching, and developing team capabilities.
- Able to guide others in building new skills and improving problemsolving approaches.
- Proactive and takes initiative beyond standard requirements.
*Only shortlisted candidates will be contacted*
