Supervisor – Investment Back Office

SUMMARY OF ROLE

The Supervisor – Investment Back Office is responsible for overseeing the day-to-day operations of the Investment Back Office (IBO), ensuring accurate processing, reconciliation, and reporting of investment transactions across local, regional, and international markets. The role ensures adherence to internal controls, regulatory requirements, and service level agreements while maintaining high standards of operational efficiency, risk management, and customer service. The role also focuses on strengthening operational controls, enhancing MIS capabilities, supporting new business initiatives (including IPOs and investment products), and leading the team to deliver seamless support to Investment Banking Division (IBD) and external clients.

KEY RESPONSIBILITIES

Investment Operations & Processing

• Oversee and ensure accurate and timely processing of all investment transactions, including brokerage, asset management, wealth management (discretionary and non-discretionary), and proprietary portfolio activities.
  
• Manage processing activities related to IPO subscriptions, corporate actions, and new investment business initiatives.
  
• Ensure adherence to defined SLAs and maintain high-quality service delivery to internal stakeholders and external clients.
  
• Monitor transaction workflows to ensure completeness, accuracy, and timely execution.
  

Reconciliation & Accounting Control

• Perform and supervise daily, weekly, and monthly reconciliation of bank statements, investment accounts, and General Ledger (GL) balances.
  
• Ensure all internal accounts are accurately maintained, reviewed, and reconciled on a regular basis.
  
• Investigate reconciliation breaks and discrepancies, identify root causes, and ensure timely resolution in coordination with Finance, IT, and other relevant departments.
  
• Ensure proper accounting treatment and accurate booking of all investment-related transactions.
  

Risk Management & Compliance

• Ensure full compliance with internal policies, regulatory requirements, and audit standards, maintaining zero tolerance for high-risk or repeat audit findings.
  
• Conduct proactive risk assessments and define Key Risk Indicators (KRIs) to identify and mitigate potential operational risks.
  
• Escalate exceptions, incidents, and control breaches in a timely manner and ensure proper documentation and resolution.
  
• Ensure timely closure of audit findings and maintain strong control frameworks within the unit.
  

MIS, Reporting & Regulatory Submissions

• Ensure accuracy and timeliness of MIS reports, regulatory returns, and customer reports submitted to stakeholders and regulatory authorities.
  
• Develop and enhance reporting dashboards to track volumes, productivity, error rates, and operational performance.
  
• Provide periodic reports (daily, weekly, monthly) on operational performance, risk indicators, and control effectiveness.
  
• Support management decision-making through data-driven insights and reporting.
  

Stakeholder Management & Relationship Building

• Build and maintain strong working relationships with Investment Banking Division (IBD), internal departments, and external stakeholders.
  
• Act as a key point of contact for operational support, issue resolution, and service delivery coordination.
  
• Ensure a partnership approach with business units through effective communication and SLA adherence.
  
  
  
  

Education:

• Bachelor’s degree in Finance, Banking, Accounting, Business Administration, or related field.
  

Experience:

• Minimum 5 years of experience in Investment Operations, Custody, or Banking Operations.