Policies, Systems, Processes and Procedures
- Support operational activities in line with the policies and procedures, reviewing them regularly for effectiveness and compliance.
- Contributes to the identification of process inefficiencies and work on initiatives for improvement.
Depository Management Services
- Support in the management of Investors, Brokers, and Custodian accounts, ensuring all activities are in line with operational and regulatory requirements.
- Assist in executing seamless cross-market transfers to enhance liquidity and market access for clients.
- Execute the off-market ownership transfer processes, ensuring accurate and timely execution. ▪ Assist in timely and accurate processing of share certificate lodgement transactions.
- Coordinate and assist in securities transfers between depositories for dual-listed securities, ensuring smooth operations.
Restrictions Management:
- Support the processing and resolution of court orders and legal restrictions.
- Support the release of restrictions on securities and manage the pledging and unpledging process.
- Ensure proper documentation and system updates related to restrictions and pledges.
Securities Financing:
- Assist in execution and settlement of Repo transactions, ensuring smooth operation and compliance with relevant regulations.
- Assist in handling Securities Lending and Borrowing activities to ensure market efficiency and liquidity.
- Execute collateral transfers to ensure proper documentation, valuation, and regulatory compliance.
Customer Service and Stakeholder Management
- Collaborate with the Customer Service team to efficiently resolve customer inquiries, enhancing client satisfaction and service quality.
- Coordinate with the Customer Service team to ensure that client requests are addressed timely and effectively, reinforcing ADX's commitment to superior customer service.
- Onboard and maintenance of corporate investor records at ADX, ensuring accuracy and up-to-date information for effective stakeholder engagement.
Continuous Improvement
- Identify opportunities for process improvements, system enhancements, and automation.
- Collaborate with technology teams to implement relevant systems and digital solutions to improve operational efficiency.
- Assist in analysing current practices and propose initiatives to streamline settlement and corporate actions processes.
Risk and Business Continuity Management
- Assist in identifying, assessing, and mitigating risks related to securities financing and corporate actions processes.
- Support effective implementation of corporate policies, procedures, and processes to promote a culture focusing on the achievement of world class standards in risk management, Quality, Health, Safety, and Environmental (QHSE) management, and business continuity in line with regulatory requirements.
- Ensure compliance with all relevant regulatory requirements and industry standards pertaining to settlements and corporate actions.
- Assist in generating & automating comprehensive reports for management and regulatory purposes, providing insightful analysis to support strategic decision-making and operational improvements.
- Ensure compliance with regulatory requirements, AD CSD rules, and corporate governance standards governing activities and prepare regulatory filings and reports as required
