Maintain systems and controls to ensure the Bank comply with rules and regulations in accordance with SFC Code of Conduct and HKMA guidelines by: -
Observing BOS policies and regulations at all times, include code of conduct, suitability, cross border restrictions and relevant ordinances of HK and Singapore.
Observing internal guidelines and maintaining data confidentiality.
Understanding the risk profile of the clients. Acting as a gatekeeper and ensure full compliance of sales process, RPQ, annual review of PI, AML, KYC, product mis-matching, etc.
Keeping client profiles and documentation complete, accurate and up-to-date.
Contributing to the team's compliance standards by briefing new team members (RM and MA) about key procedures include order taking procedures, system access (Globus, RM Workbook, CRM, helpdesk support), business recovery and DR site, client relationship, etc.
Ensuring new regulatory/ internal policies are implemented and rolled up properly.
Respond to all clients' enquiries and instructions, follow up on client issues and requests.
Coordinate with Product Groups, Operations and other functional counterparts.
Prepare CA and monitor credit review, line excess, margin call, collateral position, etc.
Prepare account review materials for RM or IC review on a regular basis.
Alert Relationship Manager and/or respective parties should special actions be required.
Provide administrative and client support to Relationship Manager/Senior Relationship Manager, include maintaining and updating client transaction records/ reports as well as client data (e.g. contact lists, account numbers, facilities details, status of credit reviews/ renewals, etc.), scheduling appointments, preparing correspondences, making travel arrangements, arranging meetings and receptions, producing presentation materials, collecting and preparing product and marketing materials etc.
Minimum 3-8 years' related experience in client service, operations or sales support
Understand the basic mechanism of common financial products and services
Knowledge in credit, sales and marketing is preferable
Analytical, meticulous, sensitive to details and odds
Excellent communication and customer service skills
Fluency in English is essential for handling NRI Markets
Distinction on seniority based on years of experience
Possess of regulatory license is required. (HKSI Licensing Examination Paper 1, 7 & 8)