We are looking for energetic talents with to-win mindset and strong aspiration to grow career in Investment Advisory role. With good understanding of financial market and knowledge in various asset class, the Investment Advisor will work closely with Relationship Managers to provide appropriate overall investment advice to meet the investment needs of our clients. The role would need to perform daily investment advice and high-level sales coverage to both internal and external stakeholders. There will be individual performance expectations, and you will need to always maintain operational risk control and compliance. The principal objective of the position is to enhance the relevance of the Bank to the clients, thereby leading to an increased share of wallet, revenues and client experience.
Strategy
• Awareness and understanding of the SC Private Bank’s business strategy and model appropriate to the role. Strategize and execute Sales with disciplined plans to capture business opportunities within the footprint of SCB PvB in HK
• Drive profitable growth by providing appropriate investment advice to
(i) new and existing clients of the bank
(ii) Relationship Managers of the bank to empower them to engage clients
Business
• Focus on suitability of investments for dedicated group of clients; understand client risk appetite, investment preference and return expectations
• Liaise with Relationship Managers to produce account plans aimed at developing the client relationship including growth of assets and profitability
• Provide a tailored portfolio and trading service of relevant and suitable investment solutions
• Provide timely analysis of market and product information
• Be capable of addressing multi-asset class product requirements
• Review client investment portfolios on an annual basis using sophisticated risk engine
• Deliver good investment performance commensurate with the clients’ risk and return appetite
• Timely and accurate execution of client orders
• Understand specific client issues, including restrictions, so as to provide optimal solutions
• Identify opportunities/solutions from the wider SCB group which benefit the clients
• Act as a trusted investment advisor of choice, e.g., acts as sounding board for competitor proposals
• Work with line manager to host internal meetings / huddles for RMs
Processes
• Timely and accurate dealing of client orders.
• Track and provide regular feedback on processes transactions/solutions to client
• Create further client opportunities through high quality problem resolution
• Adherence to client investment suitability standards and to Compliance /regulatory requirements
• Support the continuous improvement of processes to increase operational efficiency and effectiveness.
• Support the effective management of operational risks across the Business and in compliance with applicable internal policies, and external laws and regulations at a global level.
• Support the delivery of Business strategy in a safe and well-controlled manner and on an end-to-end basis.
• Ensure sales management and suitability processes are applied appropriately.
People & Talent
• Collaborate with support functions, business partners, and product specialists to deliver One Bank, support cross selling efforts and referral program (where applicable), and provide effective client solutions
• Ensure all in house training to complete entirely and timely
• Ensure professional skills and/or knowledge across all investment areas
Risk Management
• Do what is right in order to avoid reputational risks and operational losses.
• Understand the risk and control environment within area of responsibility and drive rectification as required.
• Handle customer issues, complaints, and product enquiries on timely basis in accordance with established procedures.
• Ensure that Risk Management matters that are brought to attention are subject to direct remedial action and/or ensure adequate reporting to the relevant Risk Committees and/or line management.
Internal stakeholders:
• Relationship Managers
• Team Leaders
• Platform Managers
• Product Specialists and dedicated functional partners
• Client Service Managers
• Relevant Front office colleagues
• University graduated, professional qualification including CFA/FRM/CPA would be a plus
• Min 5 years of experience in Finance and Sales, with HKMA/SFC certification
• Good understanding of Wealth Management Industry especially in Private Banking
• Sound knowledge of financial markets and investment products
• Outstanding communication and presentation skills
• Strong ability to develop a network of target prospects
• Understanding and experience in working with business guidelines and compliance policies
• Proven risk management capabilities
• Fluent in English, Cantonese, and Mandarin
• Good Computer Skills, Excel Macro knowledge would be a plus
Group/Country Mandatory Learning
• Right Start
• Anti Money Laundering, Counter Terrorist Financing & Sanctions
• Fighting Bribery & Corruption - A Practical Guide
• Global Privacy Awareness
• Group Code of Conduct
• Health, Safety and Environment
• (iSAFE) Information Security Awareness for Everyone
• Introduction to Operational Risk in Standard Chartered Bank
• Living with HIV
• Reputation Risk
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