Security Operations Manager, Regulatory & Data Control

Leadingnation

Hong Kong

On-site

HKD 400,000 - 650,000

Full time

7 days ago

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Job summary

Leadingnation in Hong Kong is seeking a dedicated professional to manage management information and regulatory reporting, ensure timely and accurate financial data control, and coordinate with hub and client services for documentation and exceptions.

The role also covers account opening and maintenance, static data upkeep, system access control, vault operations, and billing support, requiring close collaboration with Legal, Compliance, and external regulators to ensure audit readiness.

Qualifications

Management Information /regulatory reports
Degree or Above
Financial data control

Responsibilities

To ensure timeliness and quality statistics analysis to management, internal department or clients
To ensure that all reports meet management requirement and support the related project/enhancement/audit
To ensure timeliness and quality all regulatory reports such as Audit Confirmation, holdings request from Listing Company or regulators (such as SFC)/government bodies, and work with Client Service Team for any client communication on exceptions
To monitor and report the financial data (including operations loss, Budgeting, Forecast or periodic declaration), clarify discrepancies and take responsibilities in the overall account process
To ensure all provision, accrual and pre-paid accounts are in good order
To ensure that account opening, amendment and closing (including hub account with other service centre) is a smooth and well-defined process for both clients and Bank
To work with hub on the account maintenance in the respective system and seek improvement opportunities with hub
To coordinate with Client Service Team on client exception management (for example, outstanding documentation), with internal department such as Account Services/hub/individual service centres, and with external parties such as regulator in obtaining regulatory approval, if required.
To ensure a proper filing and retrieval system on account documentation, including client and internal documentation such as Service Level Agreement with service providers
To work with Legal and Compliance, and other internal or external parties on a periodic client documentation review
To ensure compliance with KYC or other account opening policies. Handle related project / enhancement/audit
To handle deceased account issues by working with Legal and Compliance Department and external legal advisors
To coordinate with Hub to ensure all static data maintenance are in timely and smooth process. Static data maintenance includes stock, price, holiday, exchange rate, charge/invoice setup, Lien placement and withdrawal etc, which are not able to maintain by Operations
To work with hub on the static data maintenance in the respective system and seek improvement opportunities with hub
To handle related project/enhancement/audit
To handle daily price feed process
To handle the security administration of vendor applications (such as CCASS, CreationOnline etc)
To review system profile and user profile periodically
To handle related project / enhancement/audit
To run safe operations and take full control of physical securities being held, including deposit and withdrawal of physical securities in/out from the vault
To ensure the stock count is in timely and smooth process
To handle related project / enhancement/audit
To coordinate with Hub on the charge/billing setup/payment advice, and ensure the setup and the invoice are in good order
To settle invoice paid by cheques and arrange with hub to settle outstanding invoice
To escape exception and work with Client Service Team on the exceptions with client impact
To handle related project / enhancement/audit
To work with Global Reconciliation Hub (GRH) and Operations team to ensure the proper reporting, clearance and escalation of the control account outstanding.
To handle related project / enhancement/audit
Handle reconciliation not performed by GRH such as Tracker Fund Re