Posted By
Posted in
Banking & Finance
Job Code
1413521
Roles:
- We are seeking a dynamic individual to join the IWM CAO - Business Management team, based in Powai, partnering with the AeJ (Asia ex-Japan) IWM Business Management team.
- The individual will be joining an existing team of Business Managers, working closely with them and various Business Heads.
- She / he will assume day-to-day responsibilities, covering Client Onboarding, Business Governance & Risk topics and helping with bespoke strategic initiatives and tactical tasks.
- Other tasks include extending Business support to our Sales team (RM / CSOs) on an adhoc and BAU (Business as usual) execution basis.
- The role would require working with all the functions in the IWM space - Sales, IPAS, LCS, CO and with all the Corporate functions.
Responsibilities:
Client Onboarding
- Internal Rationale & Portfolio Review (IRPQ) assessment and monitoring exercise of overdue attestation for client accounts supporting SG / HK teams.
- Vulnerable Clients (VC) monitoring and assessments done out of Powai.
- Initial name screening of prospects, etc.
- Rolling Review for low & medium risk client profiles and several other adhoc topics.
Business Governance & Risk
- Driving Business committee meetings, platform and control oversight meetings, follow-up on closure of action items.
- External Asset Managers (EAM) / Introducers payment roll out with coordination from Operations and RMs.
- Business as usual on bespoke topics around Post Trip monitoring, Post trade monitoring, Suitability checks, etc.
- Roll out trainings within the IWM team, monitor progress and report to key stakeholders. Monitor and track Continuous Professional Development (CPD) hours for licensed staff.
- Strategic Initiatives like Cross Border Template, Best Ex policy, eKYC, etc
- Provide assistance on business continuity management (BCM) matters
Partnering with Technology, Operations, Finance and other Corporate functions
- To provide support for UAT support for each change cycle schedule
- Co-ordinate changes in PRR, Sales notification and monitoring of eventual client communication
- Assist in the management of E-platform
Control and Conduct
- Ensuring adherence to business policies.
- Assist onshore teams in tracking and resolving Audit points and driving closure
- Logging Email Incidents, coordinating and driving any self-identified issues, Ops risk events, etc to closure with appropriate action plans and controls.
Skills required :
- Good Knowledge of Capital Market products and asset classes (Fixed Income, Equities, Forex, Derivatives)
- Excellent interpersonal and communication skills in building and maintaining strong relationships with key stakeholders and regional counterparts at senior levels
- Strong Analytical and Situational Problem solving skills.
- Good understanding of the Trade Lifecycle and various corporate functions along the Trade Life cycle
- Excellent MS Power-point, Excel and Word skills
- Good project management skills - planning, coordination/ execution, senior management reporting
- Prior experience of driving initiatives in the IWM or Global Markets space.
- Is entrepreneurial and independent; a self-starter, takes ownership, exhibits integrity, initiative, strong motivation and attention to detail
- Ability to prioritize high volumes of deliverables across multiple disciplines working under pressure
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Posted By
Posted in
Banking & Finance
Job Code
1413521
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