Role Overview:
We are looking for a dynamic professional to join the IWM CAO Business Management team in Powai, working in close partnership with the Asia ex-Japan (AeJ) IWM Business Management team. The role offers the opportunity to collaborate with Business Heads and an existing team of Business Managers, providing comprehensive support across business governance, strategic initiatives, platform enhancements, and client onboarding.
The candidate will engage with various IWM functions including Sales, Investment Products and Advisory Solutions (IPAS), Lending and Credit Solutions (LCS), and the Control Office, as well as corporate functions such as Tax, Legal, HR, Finance, and Compliance.
Key Responsibilities:
Business Governance & Risk
- Organize and drive business committee and platform/control oversight meetings; ensure timely closure of action items.
- Manage EAM/Introducer payment processes in coordination with Operations and RMs.
- Handle business-as-usual tasks including post-trip monitoring, post-trade reviews, and suitability checks.
- Track and report Continuous Professional Development (CPD) hours for licensed staff.
- Support Business Continuity Management (BCM) processes.
Control and Conduct
- Ensure compliance with business policies and standards.
- Assist with the tracking and closure of audit points; liaise with onshore teams.
- Manage issue logs related to email incidents, operational risk events, and coordinate resolution with proper controls.
Cross-functional Coordination
- Support User Acceptance Testing (UAT) cycles and implementation of change initiatives.
- Coordinate updates to PRR, sales notifications, and client communications.
- Provide assistance with the management and enhancement of electronic platforms (E-platform).
Client Onboarding Support
- Conduct Internal Rationale & Portfolio Review (IRPQ) monitoring for overdue attestations in support of SG/HK teams.
- Perform monitoring and assessments of Vulnerable Clients (VC).
- Execute initial name screenings for prospects.
- Manage rolling reviews for low and medium-risk client profiles and support ad hoc onboarding topics.
Required Skills and Mindset:
Mandatory:
- Strong understanding of capital market products and asset classes (Fixed Income, Equities, Forex, Derivatives).
- Excellent interpersonal and communication skills for engaging with senior stakeholders.
- Strong analytical and problem-solving abilities.
- Solid knowledge of the trade lifecycle and related corporate functions.
- Proficiency in MS PowerPoint, Excel, and Word.
- Strong project management skills including planning, coordination, and reporting.
- Experience in initiatives within the IWM or Global Markets space.
- Self-starter with a high level of ownership, integrity, motivation, and attention to detail.
- Ability to manage high-volume deliverables across multiple priorities under pressure.
Preferred:
- Prior experience in Wealth Management.
- Enthusiasm and drive to excel in a dynamic environment.
- Background in strategic roles is an added advantage.
