Associate Director & Regional Head - Financial Services - West

Key Responsibilities:

Strategy:

- The primary role will be to act as a profit centre head and handle a team of Dealers & Equity Specialist and drive the team to generate desired results and deliver SCSI budgeted goals.

- Contribute to strategy design by providing relevant insights and market information.

- Support the execution of the strategy by leading and participating in key projects.

Business:

- Handle responsibilities like branch uplift, business development and handle major activities in the branch/es, take key decisions and initiatives.

- Ensure proper co-ordination between the staff of all the verticals operating from the branch

- Handle all the responsibilities including compliance, risk, administration and customer complaints of the branch/es.

- Manage region's profitability

Processes:

- Awareness of all policies and procedures issued from time to time

- Make sure trades are executed in an accurate and timely manner.

- Achieve good client outcomes through proper client profiling to identify client needs and provide corresponding investment solutions.

People & Talent:

- Foster teamwork and collaboration at all levels of the firm.

- Spend time enhancing initiatives and securing mandatory certifications and licenses.

Risk Management:

- Making sure that the operational risks are well controlled.

- Manage financial, regulatory & reputation risk for the firm and its clients prudently.

- Maintain the confidentiality of sensitive information.

Governance:

- Awareness and complying with all policies and procedures issued from time to time

- Review operational controls periodically to ascertain effectiveness

Regulatory & Business Conduct

- Provide oversight in line with the Standard Chartered Conduct Principals across clients in India

- To ensure compliance with the highest standards of regulatory and business conduct and compliance practices as defined by internal and external requirements. This includes compliance with local banking laws, other applicable laws (e.g. laws governing securities activities, company law) and anti-money laundering regulations and guidelines. This includes the responsibility for the conduct of individuals in the team and ensuring behaviours set out in the Group Code of Conduct are followed and that team collectively achieves the outcomes set out in the Conduct Principals and Pillars.

- Take personal responsibility for understanding the risk and compliance requirements of the role. Understand and comply with, in letter and spirit, all applicable laws and regulations, including those governing anti-money laundering, terrorist financing and sanctions; the Group's policies and procedures; and the Group Code of Conduct.

- Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters. Embed the Group's values and code of conduct to ensure that adherence with the highest standards of ethics, and compliance with relevant policies, processes and regulations among employees form part of the culture.

- Display exemplary conduct and live by the Group's Values and Code of Conduct.

Key stakeholders:

- BMs, Cluster Heads & Area Directors / Wealth Specialists & Cluster Heads

- Function heads - Investment Strategy, Technology, Risk, Operations, Compliance, Products, and Finance.

- Other Responsibilities:

- Embed Here for good and Group's brand and values; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures;

Skills and Experience:

- In-depth knowledge of economic and market trends

- Knowledge of business management principles and practises

- Disciplined approach to risk management and an understanding of client appetite for risk

- Strong numerical and analytical skills

- Working knowledge of MS Office suite of applications

Qualifications:

Education:

- Master's degree preferably in Finance from a reputed university

- The candidate must be a highly motivated and seasoned professional with strong experience and knowledge of equities, derivatives & MTF products and strategies.

- At least 6-8 years of solid sales experience in the financial services sector with a proven track record and a portable client base. Out of this, at-least 3-4 years should be in prior broking firm.

- Strong interpersonal, communication and presentation abilities.

- Good balance of technical competency and financial knowledge.