Summary
Date Posted: Tuesday, August 15 2023, Base Salary: Not Disclosed

JOB DETAILS:
Job Description
To ensure that client onboarding, order handling and settlements are done in accordance with the Capital Markets Authority Act and Uganda Securities Exchange regulations and guidelines. To ensure timely onboarding of clients with the full KYC requirements. Ensure sanction screening records are maintained and Enhanced Due Diligence is performed on high-risk clients.
To ensure that unit subscriptions and client redemptions are done within the stipulated time in the trust deed. Timely reconciliations of fund assets with the custodian and subsequent submission of reports to the Trustee as per the trust deed. To ensure that clients receive accurate contract notes upon execution of trades. Timely resolution of errors. To ensure operational losses below the prescribed threshold in the risk appetite statement and full compliance with the SBG Securities Uganda Limited policies and procedures.
• Oversee client onboarding process and Updating Client relationship management system after receiving all required KYC documents and verification of the same.
• Understanding the overall SBGS Strategy and SBGS Operations –how it fits into the overall SBGS strategy.
• Monitor work volumes and processes and continually recommend improvements and adaptations to existing systems, processes, and structures to ensure current and future sustainability of quality service.
• Implement client instruction processing standards within SBGS.
• Ensure that service standards provided for in the Capital Markets Industry are adhered to.
• Ensure implementation and adoption within assigned portfolio of all Compliance, Anti-Money Laundering and Sanctions related requirements contained in policies, procedures, and processes. This includes monitoring and identifying any material compliance related breaches and escalating them to line management and the Compliance Office.
• Build and maintain credible and value adding relationships with stakeholders, including executives, peers, internal and external partners.
• Partners with unit manager and Business Heads to identify customer service expectations, agree SLAs and align to the Customer Value Proposition to deliver an appropriate client service
• Collaborates with other areas through continuous interactions to ensure that best practices are implemented, and a standard approach is followed
• Provide relevant, accurate and timely reporting to senior management, governance committees and the regulator.

Qualifications
Minimum Qualifications
Type of Qualification:
• Bachelors’ Degree in Business, Finance, Banking or Economics or its equivalent from a recognized institution.
• Part qualification in relevant professional field (added advantage)
• Broad understanding of financial market securities.
• Knowledge of pensions industry.
• Knowledge of Capital Markets Industry Applications.

Experience
• Job Function: Business Support
• Job Family: Operations, systems, processes, and controls.
• Years: 3-4 Years
• Experience Description: At least three years of experience at middle/senior level management within a front-line function preferably Corporate Banking or Investment and Operations functions. Practical and deep knowledge of at least Capital Markets or Stock Broking or Asset management and must be fully conversant with its associated risks and process improvement concepts.

Additional Information
Competencies:
• Analytical skills
• Good verbal and written communication skills
• Good writing or report writing skills
• Good interpersonal skills.
• Results driven
• Respond positively to change- be flexible, pro-actively encourage change
• Teamwork skills – consistently promote teamwork, and add value within the team
• Enthusiastic, confident, and able to work independently
• Ability to work under pressure.
• Self-Starter, willing to work with no supervision
• Creative
• Act with Integrity
• Hardworking

Technical Competencies:
• Client Servicing. Query Resolution
• Continuous Improvement
• Deal or Trade Life Cycles
• Industry Knowledge


Work Hours: 8

Experience in Months: 36

Level of Education: Bachelor Degree

Job application procedure
Interested and qualified? Click here to apply

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