Summary of Job Role
Responsible to deliver business Assets under Management and revenue expectations through advising professional clients on financial products or credit, and/or dealing in investments, while ensuring compliance with all applicable laws, regulations, policies and procedures.
Key Deliverables
- Generate assets under advisory in line with role expectations
- Revenue goals for the role
- New customer acquisition
- Ensure transparent and fair treatment of customers avoiding all conflicts of interest
- High quality advisory to customers consistent with Klay Capital's standards
- Maintain highest level of service standards
- Compliance with all applicable laws, rules, policies and procedures, as communicated by the business from time to time
- Compliance with all internal procedures, controls and standards as communicated by the business from time to time
- Make all reasonable efforts to keep abreast with developments in laws and regulations
- Undertake learning and development goals assigned from time to time (knowledge, skill or competency based)
- Complete individual projects/challenges/tasks assigned to enhance learning & development
- In addition to responsibilities as assigned above, additional responsibilities may be assigned from time to time
Qualifications
- Required: Bachelors/Masters with Level 3 certificate in Wealth Management from Chartered Institute for Securities & Investment or equivalent
- Desired: MBA or Financial certifications such as CFA/CFP or pursuing the CFA program
Skills/Knowledge
- Relevant and proven relationship management, consultative sales and advisory skills.
- Working knowledge and experience in client onboarding, ongoing KYC and due diligence procedures in private banking.
- Relevant knowledge of the applicable laws and compliance controls.
- Excellent written and oral communication skills.
- Process driven and attention to details.
- Good analytical and problem-solving approach.
- Ability to respond to TATs and requests with efficiency and accuracy.
- Experience in similar roles in regulatory jurisdictions i.e DIFC, MAS, FCA, FINMA would be a plus.
Experience
- Minimum 8 years relevant experience within the same role in a Private Bank / 10 years relevant experience in a Top Tier segment in a retail bank.
