Job Mandate

Regulated Activity Business

Responsible for the dealing/execution of capital markets products to fulfill Wealth Management orders

Providing Wealth Management unit with a wide array of products after performing product due diligence and risk assessment, where required for recommended products

Duties and Responsibilities

Ensures timely execution of Securities, Structured Product, Fund and Alternative Investment order/transaction and accurate capture of all executed transactions in the applicable trading platform
Scouts the market and recommend ideas that may be offered to clients to provide clients with a wider array of products that will fit their investment/trading needs
Facilitates the new product processes to be offered (coordinates the product due diligence and risk assessment)
Discusses any issues with stakeholders at all stages of the product due diligence and risk assessment process
Conducts post launch reviews on all approved products
Conducts ad-hoc and annual reviews to ensure that the product risk levels of all approved products are properly adjusted, if necessary, based on current market conditions and the Branch's business condition
Ensures the policies and procedures in relation to the product due diligence and risk assessment are updated in accordance with prevailing rules and regulations
Ensures regulated activity business is operating in accordance with applicable SFA and MAS regulations. Handles queries of regulatory authorities related to the regulated activity business
Perform other duties assigned from time to time

Qualifications:

Bachelor's Degree(s)
Minimum 5 years experiences in Private Banking Advisory and Execution Desk (Multi asset experiences is a plus)
Passed or certified with FMRP, CMFAS RES2B (previously M1B), CM-EIP (Previously M6), CM-SIP (Previously M6A), CACS 1 and CACS 2
Familiar with trading system: Bloomberg, MarketAxess and core banking system such as Avaloq is a plus
Advanced MS Excel, VBA, Phyton knowledge is a plus
Detail oriented and demonstrates thoroughness and strong ownership of work
Good team player with a strong willingness to participate and help others
Able to prioritize in a fast moving, high pressure, constantly changing environment Good sense of urgency

Securities Dealer