Senior Officer, Investment Banking Operations (40001368)

Job Purpose

• Follow the leadership's direction to follow the general development strategy from time to time for Techcom Securities (TCBS) and Investment Banking Division's Operation and Orientation.
• Master the operations of Operation to ensure the completion of the assigned work, achieving quality and following the orientation of the functional segment as well as that of TCS and the investment banking service segment.

Key Accountabilities (1)

1. Perform operations within the scope of the functional array as assigned by the Managing Team Leader, the Division Director.
2. Contribute ideas to the regulations, processes and guidelines on the profession of the functional array.
3. In case of authorization, the functional segment representative participates in the project of the functional segment and the Investment Banking division to build, structure and develop new products.
4. Receive and perform assigned tasks according to the operation orientation of the Investment Banking Division, specifically: a. Bond operations:
   • Operate bond transactions, fixed income transactions for retail;
   • Operate capital transactions, Fixed income transactions of Capital and Financial Management Division;
   • Operate bond transactions, fixed income transactions for Funds; b. Agent operation and special asset management:
   • Operation of registered agents;
   • Operation of transfer management agency activities;
   • Operation of payment agent activities;
   • Operation and management of collateral; c. Operate listed/registered securities, derivative securities:
   • Operate listed securities, derivative securities trading activities,
   • Operation of clearing activities;
   • Operate activities to exercise rights;
   • Operate depository activities;
   • Operate financial service provision activities;
   • Operate money transactions for investors;
   • Operation of treasury stock trading agency, public bid agency for issuers; Transfer of ownership of securities; d. Fund operation:
   • Operate IPO activities for Funds
   • Operate distribution agency activities for trading of open-ended fund certificates; e. Securities management activities:
   • Perform securities management activities;
   • Carry out the management of security assets which are securities assigned by Techcombank to TCBS for management.
   • Valuation of securities f. Investment account management:
   • Manage and store investment account records
   • Manage and store customer records
   • Receive and send mail g. Securities registration for issuers with VSD:
   • Securities registration
   • Simultaneous registration
   • Register for a public bid agent
   • Register agent to trade treasury shares

Key Accountabilities (2)

1. Propose, give suggestions, give signs to identify and control risks in the operational activities of the functional array.
2. Implement, make periodical and extraordinary reports according to assignment requirements.
3. Participate, comment and submit requests and articles to improve the software system for software or IT suppliers to improve, standardize, develop features, administer the system and provide services services, efficient operation for securities trading activities. Participate in system acceptance testing according to assigned tasks.
4. Participate in testing projects of Vietnam Securities Depository Center in assigned projects.
5. Ensure individual's activities comply with internal policies, regulations, procedures, guidelines, etc. and commitment to service quality.
6. Perform other related tasks at the request of the leader.

Key Accountabilities (3)

Key Relationships - Direct Manager

Key Relationships - Direct Reports

Key Relationships - Internal Stakeholders

Key Relationships - External Stakeholders

Success Profile - Qualification and Experiences

• Have a university degree or higher majoring in economics, finance and banking;
• Have good knowledge and practical understanding of stock market, corporate finance, banking, investment banking;
• Priority to have securities practice certificate;
• Priority to have international degrees and professional certificates in financial analysis, investment

• Professional experience: Preferably have worked for at least 5 years in related fields such as capital markets, investment, structured products in banks, financial institutions or enterprises;
• Foreign language: (English)
• According to Company's regulations from time to time

• Understand the organization;
• Understand the company's products and services;
• Knowledge of company policies and procedures.