Job description for a depository specialist

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Job description for a specialist in depository activities. Full document

Occupational Safety and Health

Occupational Safety and Health / Job descriptions

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I. General Provisions

The depository activities specialist reports directly to _______.
The depository specialist follows the instructions of _______.
Depository Specialist replaces _______.
The Custody Specialist is replaced by _______.
Must know:

laws and regulations of Ukraine relating to the legal regulation of the activities of business companies, the issue and circulation of securities, the legal regulation of other participants in the stock market and the legal status of government bodies, banking legislation;
internal documents of the depositary institution;
constituent documents of issuers that are serviced, as well as other entities - depositors;
exchange and over-the-counter securities market;
structure of activity of the National Depository System of Ukraine: participants, functions, scope of activity, basics of activities for maintaining registers of owners of registered securities, circulation of securities issued in uncertificated form, basics of economic theory, microeconomics, macroeconomics, management, marketing, information science and computer technology.

Qualification requirements:

Specialist in depository activities of category I: complete or basic higher education (technical) in the relevant field of training. Work experience as a specialist in depository activities of category II: for a specialist - at least 1 year, for a bachelor - at least 2 years. Availability of a qualification certificate as a specialist in stock market issues.
Depository activity specialist of category II: complete or basic higher education in the relevant field of training (specialist or bachelor): for a specialist - no work experience requirements, bachelor - work experience as a specialist in depository activity - at least 1 year. Availability of a qualification certificate as a specialist in stock market issues.
Specialist in depository activities: secondary vocational education (technical) education in the relevant field of training. No work experience requirements.

II. Official duties

Depository Specialist:

Accepts securities and/or their certificates and certificates of immobilization of registered securities.
Preserves securities and/or their bearer certificates and certificates of immobilization of registered securities.
Carries out the movement, collection and transportation of securities and/or their certificates and certificates of immobilization of registered securities.
Issues securities and/or their certificates that have been held by a depository institution.
Checks securities and / or their certificates for authenticity (authenticity).
Carries out an inventory of securities and/or their certificates and certificates of immobilization of registered securities, stores global certificates and temporary global certificates.
Carry out administrative operations: opening securities accounts, making changes to the account form, closing securities accounts, changing the method of storing securities and other changes not related to changes in the balances of securities in securities accounts.
Performs accounting operations: depository operations for maintaining accounts in securities and reflecting transactions with securities, the consequence of which is a change in the number of securities in securities accounts, the establishment or removal of restrictions on their circulation, as well as a change in the mode and place of storage (location) depository assets, crediting, writing off, transfer operations; movement of securities.
Carry out information operations: depository operations, the consequence of which is the issuance of statements from securities accounts and other information regarding transactions of depositors (clients) with securities accounts at the request of depositors (clients) and other persons in accordance with their authority to receive such information; operations for the preparation and issuance of securities account statements, information certificates, reference and analytical materials characterizing the securities market; operations to transfer information to clients (depositors) about the issuer's operations (including providing information about the issuer holding a general meeting, the use of voting rights, etc.).
Carries out servicing of the issuer's transactions regarding the securities issued by it - reflection of transactions on accounts in the issuer's securities; repurchase (purchase by the issuer of securities issued by it for their subsequent resale, distribution among its employees or cancellation) splitting (reducing the par value of securities of a certain issue while simultaneously increasing their number without changing the volume of the issue) consolidation (increasing the par value of securities of a certain issue with a simultaneous reducing their number without changing the volume of the issue) conversion (exchange by the issuer of securities of one issue for securities of another issue in accordance with the terms of their issue) cancellation (a set of actions by the issuer to terminate all rights granting securities); redemptions (a set of actions by the issuer to terminate the circulation of securities and cancel them in accordance with the terms of the issue) operations related to changing the size of the authorized capital of a joint-stock company; payment by the issuer of income on securities issued by it; operations related to reorganization.
Opens and maintains issue accounts for uncertificated securities placed and/or redeemed by the issuer.
Assembling the accounting register of securities holders' accounts; immobilization of securities; transfer of the entire issue of securities issued in documentary form into uncertificated form; registration of a depository institution as a nominal holder in the register of owners of registered securities: servicing investment (mutual) funds and joint investment institutions (mutual and corporate investment funds); implementation, maintenance and support of computerized systems for servicing securities accounts.

III. Rights

The depository specialist has the right to:

Get acquainted with the draft decisions of the management of the enterprise regarding its activities.
Participate in the discussion of issues related to the performance of his duties.
Make suggestions for improving the work related to the provisions of this instruction.
Within the limits of his competence, inform his immediate supervisor about all those identified in the course of his activities, and make proposals for their elimination.
Require the management of the enterprise to assist in the performance of their duties.

IV. A responsibility

The Depository Specialist is responsible for:

For improper performance or non-performance of their official duties, as well as for non-use or directly to their rights provided for by this Job Description - to the extent determined by the current legislation of Ukraine.
For offenses committed in the course of carrying out their activities - within the limits determined by the current administrative, criminal and civil legislation of Ukraine.
For causing material damage - within the limits determined by the current labor legislation on labor of Ukraine.

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