Job Description
DUTIES & RESPONSIBILITIES
1. Customer Services
Answer inquiries from investors / agents / wealth specialists via email and the company hotline
Record investor's inquiry in the CS system for further tracking and follow-up
Follow up with related parties to ensure the inquiry is resolved within a reasonable timeline.
Assist investors in going through all processes related to the account opening, account information update, transactions.
Provide investors with after-sales services (customer website guidance, account statement checking, NAV update)
Other tasks assigned by Head of Wealth Operations
2. Client Onboarding
Perform "Know Your Client" and "Anti Money Laundering" (KYC and AML) checking at the account opening stage for all investors
Identify high-risk clients (review of possible match client generated by Bridger) and perform ongoing monitoring of these clients upon current policy.
Work with related parties (Sales team, Transfer Agency "TA"...) to proceed with the investors' account opening and information update when required.
3. Transaction Processing
Validate investors' subscription / redemption / switching and pass orders to fund transfer agent for execution
Provide Trade Confirmation (bi-weekly) and Holding Statement (Monthly, Quarterly, Annually) to investors via email
4. Data Entry Oversight
Check the investor / agent / sale manager's information input by the data entry vendor against the original copies provided by the investor / agent / sale manager.
Import the investor / agent / sale manager's information into the system (CAS4TA)
Update the investor / agent / sale manager's information change (when required) in the system and send instructions to Transfer Agent
Frequently reconcile the existing investor data in the Transfer Agent against CAS4TA to ensure information accuracy.
Follow up with Transfer Agent to ensure all the fulfillment of investor / agent / sales information timely.
5. Reporting
Prepare various Sales reports and commission reports for the various distribution channels.
Prepare Wealth Operations reports
Prepare other reports when required
6. Others
Prepare user business requirements and perform UAT testing for projects
Provide administrative support to sales and marketing teams and the launch of new products and services
Set up and enhance the complaint / inquiry handling process.
Analyze customer complaints (if any) and inquiry reports and propose the best solution
JOB SPECIFICATION
1. EDUCATION / TRAINING
Bachelor Degree with Finance / Accounting / Banking
background
2. PROFESSIONAL / TRADE QUALIFICATION
Securities brokerage license issued by SSC preferred
3. COMPETENCIES
4. EXPERIENCE
5. COMPUTER PROFICIENCY
Computer literacy with common PC applications (i.e. familiarity with Microsoft Office, particularly Excel)
6. KEY WORKING RELATIONSHIP
