Internal Auditor
2 weeks ago
**Responsibilities**:
- Provide support to Financial Advisors and Investment Counsellors in all matters relating to execution of Client trades with the Banks or Prime Brokers with whom our Clients maintain their accounts.
- Liaise with Financial Advisors, Investment Counsellors, relevant Banks / Prime Brokers and other external service providers to manage the end to end process for placement and settlement of trades placed on Client accounts (including bulk order placements and split of the same following settlement)
- Comprehend and follow varying trade and order placement operational modalities instituted by different Banks and Prime Brokers
- Ensure the operational processes are performed in compliance with the Company's policy and regulatory requirements
- Adhere to the Best Dealing and Execution policy of the Firm in placing and managing trades
- Track efficiency and accuracy of execution versus market / order levels
- Assist Financial Advisors and Investment Counsellors in tracking the performance of open positions / orders
- Assist Financial Advisors in clients' bank account opening processes and documentation
- Coordinate client onboarding process between Financial Advisors and Compliance
- Provide ongoing support to Financial Advisors on all client matters
- General administrative support for all client/prospect matters
- Responsible for ad-hoc tasks as and when required
**Desired Attributes and Requirements**:
- High standards of ethics and conduct; ensures confidentiality of Clients’ assets & information
- Fosters team work and positively contributes towards the dynamics of the team and the quality of its output
- Excellent organizational skills
- Proficiency in preparing worksheets and documents
- Ability to identify and resolve issues and escalate as necessary.
- Ability to multi-task and operate in a dynamic environment
- At least 2 years of relevant experience in client servicing functions preferably in the Private Banking, Premier Banking or Wealth Management space. Multi asset trade execution skills will be preferred. If experience in executing trades in a single asset class then must demonstrate ability to transfer existing skills in a multi asset environment
- CMFAS certifications, including M5, will be preferred
- Understanding of the industry regulations, best practices and applicable compliance requirements will be an added advantage
- Academic or Professional qualifications with specialization in Finance, although not a prerequisite, will be preferred
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