Role & Responsibilities:
We are seeking a dynamic individual to join the IWM CAO - Business Management team, based in Powai, partnering with the AeJ (Asia ex-Japan) IWM Business Management team.
The individual will be joining an existing team of Business Managers, working closely with them and various Business Heads.
She / he will assume day-to-day responsibilities, primarily covering IPAS BM function, Business Governance & Risk, Strategic Initiatives, Platform upgrades, Client Onboarding topics, and helping with bespoke tactical tasks.
Other tasks include extending Business support to our Sales team (RM / CSOs) on an ad hoc and BAU (Business as usual) execution basis.
The role would require working with all the functions in the IWM space - Sales, Investment Products and Advisory Solutions (IPAS), Lending and Credit Solutions (LCS), Control Office (CO), and all Corporate functions (Tax, Legal, HR, Finance, Compliance, etc).
Responsibilities:
IPAS Business Management:
- Driving Product committee meetings and follow-up on closure of action items
- Procedure and policy reviews with key Product owners periodically
- Business as usual on bespoke topics around Authorized signatory (AP) status monitoring, etc
- Roll out trainings within the IWM team, monitor progress and report to key stakeholders
- Strategic initiatives on topics around Cross Border, Best Ex policy, eKYC, Online trading platforms, etc
- Driving approval for New Product Initiatives (NEPAL) across the business and product lines
Business Governance & Risk:
- Driving Business committee meetings, platform and control oversight meetings, follow-up on closure of action items
- External Asset Managers (EAM) / Introducers payment roll out with coordination from Operations and RMs
- Business as usual on bespoke topics around Post Trip monitoring, Post Trade monitoring, Suitability checks, etc
- Monitor and track Continuous Professional Development (CPD) hours for licensed staff
- Provide assistance on Business Continuity Management (BCM) matters
Control and Conduct:
- Ensuring adherence to business policies
- Assist onshore teams in tracking and resolving Audit points and driving closure
- Logging Email Incidents, coordinating and driving any self-identified issues, Ops risk events, etc., to closure with appropriate action plans and controls
Client Onboarding:
- Internal Rationale & Portfolio Review (IRPQ) assessment and monitoring exercise of overdue attestation for client accounts supporting SG / HK teams
- Vulnerable Clients (VC) monitoring and assessments done out of Powai
- Initial name screening of prospects, etc
- Rolling Review for low & medium risk client profiles and several other ad hoc topics
Mind Set:
Mandatory:
- Good knowledge of Capital Market products and asset classes (Fixed Income, Equities, Forex, Derivatives)
- Excellent interpersonal and communication skills in building and maintaining strong relationships with key stakeholders and regional counterparts at senior levels
- Strong analytical and situational problem-solving skills
- Good understanding of the Trade Lifecycle and various corporate functions along the Trade Life Cycle
- Excellent MS PowerPoint, Excel, and Word skills
- Good project management skills – planning, coordination/execution, senior management reporting
Desired:
- Prior experience of driving initiatives in the IWM or Global Markets space
- Is entrepreneurial and independent; a self-starter, takes ownership, exhibits integrity, initiative, strong motivation, and attention to detail
- Ability to prioritize high volumes of deliverables across multiple disciplines working under pressure
- Prior experience in Wealth Management space
- Ambition and enthusiasm to succeed in this challenging role
- Prior experience in strategy roles would be an added advantage
Education
UG: Any Graduate
PG: CA in CA, MBA/PGDM in Marketing
