Senior Associate, Equities Operations - Client Services

Key Responsibilities

Client Onboarding

• Perform client account creation, documentation checks, and verification in accordance with regulatory and internal requirements.
• Ensure timely setup of new client accounts, sub-accounts, and related parameters in NOVA and other trading systems.
• Review and validate onboarding documents for completeness and compliance prior to onboarding.

Data Management

• Maintain accurate and up-to-date client account information, SSIs, market access, and trading limits in NOVA, Fidessa, and related systems.
• Update and maintain system parameters across NOVA, Fidessa, and internal platforms related to onboarding and account maintenance.
• Conduct periodic data checks to ensure system integrity, accuracy, and consistency.

Regulatory & Compliance

• Ensure all onboarding processes comply with Bursa Malaysia and Securities Commission (SC) rules, as well as internal SOPs.
• Support compliance reviews, internal audits, and regulatory inspections by providing required documentation and information.
• Maintain proper records and audit trails for all account setup and system maintenance activities.

Operational Efficiency

• Assist in reviewing and enhancing onboarding workflows and system-related processes.
• Maintain and update SOPs, guidelines, and process documentation related to onboarding and system maintenance.

Key Requirements

• Bachelor's degree or equivalent preferred.
• Minimum of 3 years relevant work experience in client onboarding, data management, risk/compliance, or related functions.
• In-depth knowledge of stockbroking operations, client account structures, IPOs, and the post-trade cycle.
• Strong analytical skills with high attention to detail.
• Excellent interpersonal, communication, and stakeholder management skills.
• Proficient in system testing, UAT coordination, and documentation.