Investment Advisory Associate

3 days ago

Singapore Career Story Pte Ltd Full time

**Investment Advisory Associate**

**$6,000 - $10,000 monthly**

**About the Organization**

The client is a leading financial institution providing a wide range of banking and financial services to individuals and businesses. With a strong presence in Singapore and the organization is committed to delivering exceptional customer experiences and innovative financial solutions.

**Primary Role**:
Support the Head of Securities Marketing in managing investment-related activities within the Treasury department. This includes overseeing client accounts and ensuring compliance with the Securities and Futures Act (SFA) and the Financial Advisers Act (FAA). The role focuses on growing client relationships, delivering tailored investment solutions, and achieving performance targets.

**Key Responsibilities**:
1. Build and nurture long-term client relationships, driving growth in market share and client asset size to meet annual revenue goals.

2. Provide personalized investment advisory services to Private Banking clients, creating strategies aligned with their goals and risk profiles.

3. Generate innovative investment product ideas and stay informed of market trends to offer expert guidance.

4. Assist clients with the investment account opening process by offering clear guidance, ensuring compliance with regulatory disclosures.

5. Facilitate customer categorization (e.g., professional investors, derivative knowledge) by gathering and verifying necessary documentation.

6. Execute investment product transactions based on customer instructions while adhering to regulatory requirements.

7. Clearly explain product features, associated risks, fees, and other key information during the sales process.

8. Perform suitability assessments to identify products that may be unsuitable or mismatched, escalating as needed for management approval before execution.

9. Ensure all selling processes comply with company policies and regulatory guidelines, obtaining necessary acknowledgments and confirmations from clients.

10. Stay updated on market developments, trends, and investment products, providing feedback on client needs for potential new offerings.

**Job Requirements**:

- **Education**: A bachelor’s degree in Finance, Economics, Business Administration, or a related field is required.
- **Experience**: A minimum of 3-5 years of relevant experience in investment advisory, private banking, or financial services.
- Strong understanding of investment products, financial markets, and regulatory requirements under SFA and FAA.
- Proven ability to build and manage client relationships effectively.
- Excellent communication and interpersonal skills, with the ability to convey complex financial information in a clear and concise manner.
- Certification in relevant financial qualifications (e.g., CMFAS modules, CFA, or CFP) is highly advantageous.

By submitting your personal data and/or resume, you will be deemed to have agreed and consented to us collecting, using, retaining, and disclosing your personal information to prospective employers for their consideration.

Joselito Peciller | EA Reg No: R25126580

**Job Types**: Full-time, Permanent

Pay: $6,000.00 - $10,000.00 per month

Work Location: In person

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