Mô tả công việc
• Collecting and aggregating on-demand data on a daily, weekly, monthly, quarterly, annual, or abnormal basis.
Daily
- To check the announcement of HOSE & HNX and the securities depository center (VSD) on the list of securities not allowed margin trading, securities are delisted, warned, controlled, reminded the whole market ... the rights issues of the stock to inform the direct manager to submit the Risk Management Committee for getting approval in the change, addition or removal of stocks in the marginal list.
- To prepare the consolidated reports: Report on margin trading status by stock code to SSC, the status of accounts with outstanding loans, margin call requirements, top of 30 stocks with the biggest outstanding loans of the company, force sell requirements.
- To export data from the trading system before the trading session or before performing the clearing step after the trading session.
- To prepare on-demand data for evaluations of the status of big loans and handle emerging risks.
- Prepare proposals, notices to submit to the board of managers for getting approval, disclosure information, and archives document as regulations.
- To receive and check the registered customer information of the margin trade application form to report direct manager for evaluation, approval, or submission to the Risk Management Committee for getting approval and archival of the dossier; Check the use of limits and report for a direct manager for handling cases of violating regulations on the use of limits.
Weekly: To prepare data to for implementation:
- The reports synthesis, analysis, and assessment of Margin transactions are of great value.
- The reports synthesize analysis and assessment of high-risk cases.
Monthly: To Prepare data for implementation of the reports:
- Summary of risk management activities that be sent to SSC, report periodic implementation results as well as risk management plan of next month.
- Synthesize, analyze, assess, a remind of related units about monthly approved assessment results, and confirming the implementation deadline.
- Report on the situation of accounts do not meet the requirements of the escrow trading regulation.
- Revalidate the maximum price of marginable stocks that are allowed margin trading and submit to the Risk Management Committee to get the approval of Risk Management Division recommendations.
- List of marginable stocks for performing margin trading that is sent to SSC monthly.
- To prepare documents for internal controls.
- Strategic risk management reports such as the summary report on risk management activities, top of 10 stocks with the biggest outstanding loans of the company, periodic risk management report, ETC.
Quarterly: To Collect relevant data for:
- Reassess all stocks on both HOSE and HNX exchanges and submit to the Risk Management Committee for getting approval of the Risk Management Division’s proposals for change, addition, and removal for the list of marginable stocks that be allowed margin trading.
- Report the list of marginable stocks that are allowed margin trading with a maintained margin ratio that be sent to SSC quarterly.
Annual: To collect, the aggregate of relevant data for:
- To review, evaluate, develop and complete a Risk Management policy to ensure that risks are minimized and standards and tools are properly, effectively, and independently implemented.
- To prepare sufficient documents for periodical control checks of internal audit, independent audit, and SSC.
- To revalue the limits in order to ensure that the limit is used effectively and submit to the Risk Management committee for getting approval Risk Management Division’s proposal for reducing limits that be not used for a long time.
- Report on the company’s annual risk management activities according to current regulations.
• Risk Management Committee’s Secretary.
- To attend meetings with the direct manager, note the members’ comments and write the Meeting Minutes.
- To receive all requests from relevant units, collect and prepare on-demand data to support for a direct manager can analyze, evaluate, call a meeting and submit to Risk Management committee for getting approval all related proposals.
- Archive all meeting minutes and prepare documentation.
- To notice to the relevant units on the Risk Management Committee Meeting’s results.
• Other tasks assigned by Direct Manager.
- Other tasks assigned by the direct manager
- Back up another trainee when needed.
- To collect on-demand data in coordinating and advising other units about information related to risk management and addressing emerging risks.
