- Provide specialist product agnostic investment support and execution to clients and frontline teams to meet Clients’ investment objectives and feedback to ensure provision of best solution.
- Liaise with product specialists across a range of investment asset classes to discuss client requirements and feedback to ensure provision of best solutions.
- Provide portfolio analysis and liaise with Clients on own portfolio to feedback on portfolio performance and seek opportunity to cross sell and deepen wallet share.
The role will entail the following deliverables and key competencies: –
- Provide a consistently high quality overall operational service to the WI SBG team and WI customers: –
- Timely communication with investment clients and internal stakeholders.
- Provide end to end support for the investments function including the placing, monitoring of orders and settlement of trades in the fixed income and equity market.
- To ensure growth in company revenue by providing responsive, proactive and efficient services to existing and potential clients to grow market share in the securities industry.
- Leverage the group’s reach, capabilities, and expertise to add value to both the customer and the Wealth and Investment business
- Timely processing of documents; CDS and Account opening, KYC, payments, and statement/confirmation requests etc.
- Ensure strict compliance with laid-down risk management controls and processes.
- To develop, maintain and build strong long-standing relationships with existing and potential Wealth and Investment Clients and other stakeholders.
- Maintaining a high level of integrity and ethical standards commensurate with the requirements of market best-practice.
- Compile Data reports and assist with preparation for internal and external presentations.
- Responsible for the implementation and adoption (within Branch, Department or Section) of all Compliance, Anti-Money Laundering and Sanctions related requirements contained in policies, procedures and processes. This includes the consideration and approval of PEP on-boarding and continued business engagement in instances where no adverse information is available.
- Ensure incident reporting is done in a timely manner.
- Ensure queries raised are responded to and resolved as per SLA.
- Maintaining communication between SBG Securities customers and Operations Teams – in terms of giving updates, maintenance, and compliance duties and responsibilities under the unit.
- Support the SBG sales function by ensuring operational continuity.
- Understanding of the overall risks associated with the CDSC and payment operations and ensuring there are sufficient and effective controls to manage these risks. Understanding the rules and regulations as set out by CDSC Ltd and ensuring adherence.
- Providing a readily available, service-focused, knowledgeable and experienced point of contact for clients for all CDS Operations.
- Assist with the SBGs client onboarding process including with preparation of business acceptance documentation.
- Attending client meetings to represent SBG securities and assisting with meeting actions, minutes and related deliverables.
- Monitor news flow relating to companies. Provide on-going feedback to investment team.
- Establish and maintain relationships with other market players mainly licensed members of the NSE, custodians and fund managers
- Ensure that KYC requirements are met for all customers.
- Educate clients on existing company policies and procedures as well as basic introduction to the stock market and how it operates.
- Consistently deliver high quality service to all customers; internal & external.
- Carry out and ensure that clients have met the KYC documentation requirements for the company.
- Ensure that integrity and honesty is always maintained in all client dealings.
- Maintain a thorough knowledge of the organization and adhere to all organizational standards, policies and procedures
- Liaison between SBG operations and Investments
- Ensure seamless communication between Sales Teams, and Operations
- Co-ordinate special projects
- Review and update procedures when and where necessary
- Maintain low levels of errors and zero tolerance to fraud
- Timely and accurate generation of reports
- Manage the query resolution process by providing timely responses
- Ensure confidential handling of client documentation and information
- Timely archiving and storage of client documentation
- Manage the administration of market actions such as IPOs and Rights issues while liaising with SBG operations.
- Relevant business/financial qualification.
- Ability to interpret financial statements.
- High levels of computer literacy – able to capture/update customer database, successfully complete product/lending applications, ensure credit maintenance, etc.
- Understanding of the high net-worth individual and affluent market – typical profile, lifestyle, financial needs, etc.
- Knowledge and understanding of segment value proposition – especially the operational activities required to deliver the Investment and SBGS value proposition.
- Sound knowledge of all products and channels relevant to this market, including qualifying criteria, documentation requirements, application processes, product/channel features and benefits, pricing, product/channel combination possibilities and efficient product usage through self-service channels.
- Thorough knowledge of bank and industry systems.
- Meet annual requirements of Continuous Professional Development as specified by the regulator.
- 10 years plus of operational/Sales / Portfolio Management / Investment Advisory experience in a securities business or other financial intermediary.
- A relevant University degree.
- 5 years plus banking experience, preferably dealing with high net-worth individuals in a portfolio context.
- Experience in upholding the highest levels of service.