Description
We are seeking a highly organised and experienced professional to lead our Client Advisor Assistant (CAA) team in Hong Kong.
The successful candidate will be responsible for the day-to-day supervisory oversight of Client Advisor Assistants (CAAs), resourcing of CAAs, providing trainings, mentorship, and guidance to CAAs.
Key responsibilities include:
- Providing day-to-day supervisory oversight of Client Advisor Assistants (CAAs)
- Resourcing of CAAs and arranging back-up support in consultation with Team Leaders
- Delivering trainings, mentorship, and guidance to CAAs
- Developing and coordinating contingencies to ensure service expectations are maintained during disruption situations
- Investigating and resolving queries, and ensuring proper closure of issues raised
- Providing guidance and support to the front office to ensure compliance with the Operational risk framework, policies, procedures, and guidelines
- Participating in ad-hoc projects, such as systems application UAT, process improvements, and focus groups
- Escalating service issues to relevant stakeholders and proactively engaging with front office, HK & SG KYC teams, and SG OPS teams to resolve outstanding issues
- Approving G&E and business trips, ensuring activities are in line with policy and properly approved with a proper audit trail
- Designing and implementing controls to ensure CAAs comply with sales processes and procedures
- Ensuring the team conducts name screenings accurately and efficiently, and seeking SCA's confirmation for name search hits for onboarding new clients, ongoing, and ad-hoc reviews
- Maintaining Ongoing Review (OGR) tracker, ICDD tracker, and monthly tracker for PRPQ, PI/PBC & VC
- Tracking and maintaining overseas business trips and G&E registry to ensure proper approvals are obtained and within relevant budgets
Requirements:
- Degree holder in Finance/Business Administration or related discipline preferred
- Minimum 7 years' experience as an assistant RM (ARM) or Platform Manager in the Wealth Management segment
- Knowledge of booking and settling trades of various asset classes and products
- Excellent organisational and client servicing skills
- Ability to multi-task and work under time pressure
- Good communication and interpersonal skills
- Holder of ECF on Private Wealth Management (PWM) accredited by Private Wealth Management Association (PWMA) is preferred