Business Management Professional

Client Onboarding

• Conduct Internal Rationale Portfolio Review (IRPQ) assessment and monitor overdue attestations for client accounts (supporting SG / HK teams).
• Perform Vulnerable Clients (VC) monitoring and assessments from Powai.
• Conduct initial name screening of prospects.
• Manage Rolling Review for low and medium-risk client profiles.
• Handle several ad hoc topics as required.

Business Governance Risk

• Drive Business Committee Meetings, platform and control oversight meetings, and follow up on closure of action items.
• Coordinate External Asset Managers (EAM) / Introducers payment rollout with Operations and Relationship Managers (RMs).
• Handle BAU topics including:
• Post Trip Monitoring
• Post Trade Monitoring
• Suitability Checks
• Roll out trainings within the IWM team, monitor progress, and report to key stakeholders.
• Track Continuous Professional Development (CPD) hours for licensed staff.
• Support strategic initiatives such as:
• Cross Border Template
• Best Execution (Best Ex) Policy
• eKYC
• Provide assistance with Business Continuity Management (BCM) matters.

Partnering with Technology, Operations, Finance and Other Corporate Functions

• Provide User Acceptance Testing (UAT) support for each change cycle schedule.
• Coordinate changes in:
• PRR (Product Risk Rating)
• Sales Notification
• Monitoring of eventual client communication
• Assist in the management of the E-platform.

Control and Conduct

• Ensure adherence to business policies.
• Assist onshore teams in tracking and resolving audit points and drive closure.
• Log email incidents, coordinate and drive closure of:
• Self-identified issues
• Operational risk events
• Ensure action plans and controls are implemented appropriately.