Assistant Manager / Senior Executive, Stockbroking

Job Responsibilities:

1. Corporate Actions [Nominees Client] PNOMS

• Monitoring corporate announcements entitlement from Bursa website and save under share folder by lodgment date.
• Processing of Dividend / Interest Payment
• Processing of Rights Issue / Bonus Issue / Warrant Subscription / Take Over Offer / DRP
• Daily checking shares balances
• Processing of Rightfull claim
• Assisting all other matters relating to corporate actions
• Assisting Remisiers / Dealers and liaisons with branches on corporate action issues

2. Company Annual & Extra Ordinary General Meetings

• Execution and submission of Proxy Form to respective Registrar on behalf of Nominees clients.

3. Preparing and compiling data for monthly management reporting.

4. Monitoring of shares balances & shares transfer for FST client. [Foreign Shares Trading]

• Printing of daily FST stock holdings position for FST clients
• Processing of shares inward & outward shares transfer (Pre-matching client instruction)
• Deposition of Certificate
• Updating GBO on share Transfers & Deposits

5. Corporate Actions for FST.

• Processing of Dividend / Interest Payment
• Processing and updating TRACS on Rights Issue / Bonus Issue / Warrant Subscription / Take Over Acceptance / Shares Split / DRP
• All other matters relating to corporate actions
• Execution and submission of Proxy Form to PSPL on behalf of client.
• Assisting Remisiers / Dealers and liaisons with branch, counterparty and AGN for all corporate action issues

6. Money Market Placement

• Processing of money market placement for both local and foreign clients as per instruction from PCM before the cut off time 12.30pm. (verify document, obtain authorized signatories and transfer the fund in RHB Reflex)

7. Partial withdrawal and closure

• Processing of withdrawal and closure of account for private and EPF clients as per instruction from PCM. (verify document and perform the transfer in RHB Reflex).
• Processing of withdrawal or reinstate of EPF clients as per instruction from PCM. (verify document and obtain authorized signatories)

8. Trade Settlement

• Receive email from PCM for trade settlement purchase and sales. Check and verify the correctness against contracts or broker’s confirmation (quantity and amount) and perform the payments to respective brokers to ensure the settlement or securities and cash based on the trade transaction.

9. Transfer Of Shares

• Receive transfer form NCBO form and supporting documents from PCM via email. Check and verify and authorise the form/NCBO form. Complete the transfer form/NCBO form, obtain authorized signatories and send back to PCM.
• Make payment via online banking for transfer cost.

10. IPO/Private Placement

• Receive email from PCM, check, verify and provide authorized signatories for the application form. Make the arrangement to TT the monies for the application of IPO/Private Placement and send back the documents to PCM (within 1 working day).

11. Rights Issue

• Receive the application form and the supporting documents from PCM. Check, verify and authorise the application form and prepare the bank draft form and send it to PCM.

12. Annual General Meeting (AGM)

• Receive the proxy form and supporting documents from PCM. Check, verify and authorise the Proxy from and send back to PCM.

13. Compliance:

• Ensure compliance with the rules and regulations of the relevant authorities and policies and procedures of the Company;
• To meet both internal and external audit requirements during their scheduled periodic reviews;
• To carry out duties assigned in relation to Anti-Money Laundering’s ACT, policies

Requirements:

• Bachelor Degree in any related fields with minimum 2-5 years of experience in Stock Broking company or Investment Bank.
• Team player with excellent interpersonal and networking skill.
• Strong organisational and time management abilities and ability to offer operational solutions.
• Detail oriented and willingness to explore new challenges for continuous improvement.
• Familiar with listed company in Bursa Malaysia