Trade & Loan Ops Risk & Control (2021)Cash Operations Risk & ControlPoint of contact for audit & regulatory RFIs.Perform control testing for RCSA.Prepare controls deck and conduct regular controls meeting with stakeholders.Conduct Ops risk incident review, assessment & escalation.Track issues and actions for timely completion.Pro-actively engage stakeholders to review and assess potential risk issues.BCP coordinator for documentation and exercises.Complete ad-hoc request for landscapes.

Cash Operations Risk & ControlPoint of contact for audit.Perform control testing for RCSA.Prepare controls deck and conduct regular controls meeting with stakeholders.Ops risk incident tracking, escalation & recording.Track issues and actions for timely completion.BCP coordinator for documentation and exercises.Complete ad-hoc request for landscapes.

Plan and allocate resources to manage team’s workload.Analyse workflow to improve efficiency and productivity of the team.Review bank statements in preparation for month-end general ledger sign-off.Perform data analytics to produce key performance matrix for management.Monitor and escalate issues to management in accordance with risk management policy.Liaise and coordinate with internal stakeholders and vendors on new initiatives.

Perform pre-reconciliation completeness and accuracy checks.Reconciliation of cash position, stock position, trade level position, system-to-system.Reconciliation and allocation of brokerage fees, service charges, interest fees & rebates.Investigation of outstanding items and liaise with internal & external stakeholders for resolution.Analyse process workflow and perform data analytics to increase allocation accuracy of charges and accruals to the trading desks.Presentation of data analytics to trading desks for acceptance of the most practical cost-benefit methodology solution.

Reconciliation of cash position, stock position, system-to-system.Liaise with vendors to rectify reconciliation system issues and update reconciliation system.Investigation of outstanding items and liaise with internal & external stakeholders for resolution.

Transaction monitoring.Perform KYC compliance check procedure for account reviews.Liaise with relationship managers to resolve outstanding KYC compliance issues or documentations.

Process contractors’ time-sheets and validate invoices for bi-weekly payroll cycle.Professionally handle payment related queries and disputes over the telephone.Investigation and resolution of payment queries and discrepancies.