Role Responsibilities
Strategy
To institutionalise the FPI registration, account opening and maintenance process so that is well defined for the implementation and servicing teams, as well as clients.
To participate in the local product development and sales initiatives related to FPI registration and account opening.
To participate in the bank's A3 initiative and deliver / implement the same.
Business
To manage the operational relationship for interface with implementation and servicing teams.
To serve as a focal point of contact with implementation and servicing teams, and regulators and clients, with regard to FPI registration and account opening.
Processes
To facilitate the process of accounting opening and maintenance to be smooth, error free and timely.
To facilitate the review of FPI registration related documents and revert to respective stakeholders.
To monitor the outstanding documentation, follow up with implementation and servicing teams and keep the same at a minimum level.
To regularly monitor and maintain service standards.
To liaise with regulators for any outstanding approvals.
People and Talent
To help build a good work life balance for self and team.
To constantly motivate team towards better performance.
To give regular feedback to team members.
To determine training needs of team members and regularly initiate internal training sessions to meet these requirements.
To encourage and foster a collaborative and supportive working environment.
To develop a career road map for staff to keep engagement levels high.
To support Head, Securities Services in planning and controlling staffing and training needs.
Risk Management
To keep implementation and servicing teams abreast in conjunction with Product of changes in regulations and market procedures, operating procedures affecting FPI registration and account opening.
To undertake periodic self-assessment on key controls to assess the proper functioning and adequacy of existing controls.
Governance
To ensure full awareness for self and team of all procedures and policies impacting FPI registration and account opening.
To instil alertness in self and team for any suspicious transactions and escalate the same.
To ensure timely completion of all mandatory e-learnings for self and team.
To comply with applicable MLPA guidelines.
Regulatory & Business Conduct
To display exemplary conduct and live by the Group's Values and Code of Conduct.
To 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.
Key Stakeholders
Internal
Head of Custody and Clearing Operations
Country Legal, Compliance and FCC
Country Business Head and team
Product, Implementation and Servicing team
Country Cobam team
Country CLM Operations team
External
Regulators (SEBI, RBI)
Depositories and exchanges
Peer custodians
Regulatory & Business Conduct
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