Follow CIB KYC guideline to perform KYC Due Diligence checking mainly for KYC recertification in due course
Comply with Financial Security Control to timely completed GCARS / MOAS input and update, including the clearing and uploading of SUN alerts.
Must keep the KYC up-to date in accordance with the relevant KYC policies and procedures.
Account management : Ensure all trading accounts data accurate and setting up in internal and external systems within agreed timeframes.
Account management : Ensure all trading account with proper omar code, and periodically reconcile cross systems for static data and limit setup
Ensure the daily trade data and confirmation match internal and external accurate and completed within agreed timeframes.
Ensure the daily settlement payment accurate and processes completed internal and external within regulated timeframes.
Ensure all relevant documents filed securely.
Ensure Error / Correction reporting is proper handle by TWFO, and match with market
Ensure Delay settlement is proper handle by TWBO upon the FO request with management and Compliance officer’s approval
Ensure trade commission with proper approval
Ensure all trade (new loan / extend / return) confirmed with clients and client’s custodian bank properly before trade summit to TWSE
Ensure confirmation for all trade is proper send to client and client’s custodian bank
Ensure all payment is proper process with TWSE / clients
Ensure corporate action informative is proper delivery to client within agreed timeframes.
Ensure Entitlement compensation report to TWSE within regulated timeframes.
Futures / Options Market Marker
Ensure trade / position market to market data has proper receive from Taifex / MTS / Clearing Broker
Ensure trade / position data match with MTS / Clearing Broker
Ensure expiry arrangement is proper done before end of day
Ensure Tax payment match with MTS and proper handle on T+1
Ensure service fee & clearing fee match with Taifex and clearing broker at month end
Ensure monthly domestic / foreign trading volume report to Taifex via Taifex web site before every 10th of month.
Ensure operation process complies with internal policies and local regulations.
Ensure other regulator operational requirements completed within regulated timeframes.
Minimizing operational failure, including but not exclusively, the risk of fraud, by helping to devise, and by implementing, sufficient regular controls.
Responsible for ensuring team members comply with regulatory requirements and internal guidelines.
Ensuring appropriate escalation to management and / or Permanent Control (or Compliance as appropriate) as soon as an issue is identified.
Ensure the related operation systems are running smoothly.
Ensure working flow smoothly and efficiently.
Other assignments and request from the Dept. Head
Cross Department Support
Assists on commission splitting data analysis and send out the report / information to TWFIN / HK F&C team
Assists on Taiwan Error / Account Correction report and relevant document filing
Assists on market information or regulation update upon requested by client / FO
IMS alert to local COO while P&L hit Euro 15,000
Participate related industry meeting to ensure BNP benefits are considered by the industry.
Manage, supervise and train staffs on daily basis.
Conduct internal and external client and senior management communication.