Associate Director, Investment Advisory, WM

Job Summary

Strategy

• Leading Portfolio Review conversations with clients
• Focusing on growing the business, and empowering RMs with advisory skills and tools
• Targeted engagement with high potential clients – aim to upgrade to Priority Private

Business

• Drive adoption of digital advisory tools
• Advisory focused RM training
• Client seminars
• Upgrade clients to Priority Private

Processes

• Portfolio reviews for HNW clients
• Conduct recurring client seminars
• Coach RM to understand market and products

People & Talent
Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from the team and work in collaboration with risk and control partners.

• Continue to develop talents within the team.
• Work towards strengthening the performance culture and reinforcement of accountabilities.
• Employ, engage and retain high quality people, with succession planning for critical roles.
• Provide strategic thought leadership, coaching, recognition and motivation through positive reinforcements and frequent feedback sessions.

Monitor the business performance and productivity of the team.

Key Responsibilities

Risk Management

• Strengthen first line operational risk management by ensuring effective management of operational risks across the products / business and compliance with applicable internal policies, and external laws and regulations.

Governance
Work with key stakeholders in Group, Region and HK, to tighten controls, drive consistency and to establish an optimal control and operating infrastructure aligned to business objectives.

• Ensure compliance with the highest standards of regulatory conduct and compliance standards as defined by internal and external requirements.

Regulatory & Business Conduct

• Display exemplary conduct and live by the Group’s Values and Code of Conduct.
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Lead the Wealth Solutions to achieve the outcomes set out in the Bank’s Conduct Principles
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
  

Key stakeholders

• WEALTH SOLUTIONS INVESTMENT ADVISORY
• CMPS
• DISTRIBUTION NETWORK

Skills and Experience

• Investment management
• Sales management

Qualifications

• Degree hold