Job
Description
Corporate Title Associate Experience 4 - 7 years of relevant experience Qualification MBA (Finance) or CA preferred. Role & Responsibilities: Role : 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, primarily covering Business Governance & Risk, Strategic Initiatives, Platform upgrades, Client Onboarding topics and helping with bespoke 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, Investment Products and Advisory solutions (IPAS), Lending and Credit solutions (LCS), Control Office (CO) and with all the Corporate functions (Tax, Legal, HR, Finance, Compliance, etc). Responsibilities: 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. - Monitor and track Continuous Professional Development (CPD) hours for licensed staff. - Provide assistance on business continuity management (BCM) matters 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. 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 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. Mind Set: Mandatory 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 Desired Prior experience in Wealth Management space Ambition and enthusiasm to succeed in this challenging role Prior experience in strategy roles would be an added advantage
