Tsz Yeung Ma

• Ensure all trades are matched with broker and released instructions to custodian in CTM (Omgeo) and following up trade issue and unsettle trade with counter parties
• Perform cash and securities reconciliation and follow up outstanding break with custodian.
• Handle account opening for new client / new fund launch. Liaise with custodian and service provider on process of account opening
• Monitoring cash report and preparing FX instruction to arrange sufficient funding in each of currency accounts, ensure no funding and OD issue
• Monitoring time deposit report and remind fund manager to provide instruction on expire time deposit for those of managed money market fund
• Cooperate with custodians to prepare fund interim report semi-annually
• Monitoring and reconciling valuation report with custodian. Ensure fund price to be updated correctly on daily basis
• Preparing payment instructions to pay various fund chargeable fee
• Monitoring whole corporate action process, all CA instruction submitted prior deadline
• Handling REPO trade orders, ensure all orders were settled on settlement date.
• Monitoring interest report and following up with counter parties on those interest claims.

Achievement

• No funding and OD issue by well cash management and well communication with front desk to eliminate insufficient funding risk.
• Collaborate with counter parties on account setup, assist new fund lunching successfully.

• Ensure all trades are matched with broker and release all instructions to custodian in CTM (Omgeo)
• Following up trade issue with counter parties
• Monitoring whole corporate action process, ensures all CA instruction submitted prior deadline
• Proactively follow up CA issue with custodian
• Monitoring cash report and preparing sufficient fund to Fund Manager for their daily trading and avoid any OD issue
• Perform checker and approver function on daily task (cash transfer instruction and AUM reporting) prepared by peers
• Handle Fund Manager’s daily enquiry and resolve any system issue
• Perform cash and securities reconciliation and follow up outstanding break with custodian
• Reconcile NAV and prepare PCF for those ETF product
• Participate in middle office migration project
• Handle account opening for new client / fund launch.

Achievement

• Establish Macro file to streamline working processing on sending CA request to Fund Management.
• No fail trade issue.

• Supervise team of subordinate running daily corporate actions tasks
• Responsible to manage team’s performance by coaching to staffs, work allocation, giving effective instruction and solution in accordance to direction laid down by Assistant Manager
• Assist Assistant Manager overseeing daily corporate actions tasks of team
• Approve and execute corporate actions instruction in timely schedule
• Detect problem proactively and provide solution; and report any foreseeable operations problem and resources issues to Assistant Manager on preventive basis
• Monitors performance of CoE located in Malaysia
• Provide details procedure, guidance and link up CoE and subordinates in executing daily tasks effectively
• Perform ad hoc request from Assist Manager including Assist Transfer and system UAT
• Review day end report and resolve those abnormal cases from system
• Participate in Re – Migration and system project.

Achievements

• Minimise the operational risk by reviewing and updating procedures regularly.

• Perform checker and approver function for work prepared by Corporate Action Assistant (s)
• Monitor whole process during corporate actions life cycles and take follow-up action internally and externally to ensure no corporate events is missed or delayed
• Handle client enquiries and follow up client instruction before cut off time, and assists CA Assistant to resolve complex cases through client enquiry
• Perform ad hoc request from superiors including system UAT
• Assist Assistant Manager, Corporate Action to run daily operational tasks and reports any irregularity and abnormality to superiors in timely manner.

Achievement

• Collaborate with IT team on system enhancement. Provide user comment after performing system UAT.

• Collect Corporate Actions information process, announcement received from Various sources and input instruction into internal system meeting prior to custodian deadlines ensure accurate input and completeness of all assign Corporate Event by EOD
• Follow up validates client instruction and prepares instruction to custodian
• Follow up Corporate Actions entitlement with custodians, distribution of entitlement to clients and posting of entry into client account
• Handle client enquiry and follow up client instruction before cut off time (e.g. Malaysian colleague and Business Support enquiry)
• Assist Assistant Manager in preparation of tax filing or other ad hoc tasks
• Coordinate with Corporate Actions staff in processing client instruction
• Follow up long outstanding break with custodian on all of pending receives payment
• Review Security Registration status report and Benefit receivable report.

Achievement

• Well manage on CA event schedule, task prioritising to meet event deadline.
• Accurate data input in system record.

• Perform cash and securities reconciliation and produce related periodic reports
• Follow up on outstanding reconciliation items until their resolution
• Provide administrative support
• Perform data entry and approve reconciliation maintenance activities
• Perform ad hoc tasks including system test
• Handle and prepare audit confirmation to auditors
• Review disclosure report
• Follow long outstanding items with custodian.

Achievement

• Reduce outstanding breaks in accounts.