Specialist, Wealth Operations
Dist.7, Ho Chi Minh
4 ngày trước

Job Description


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



Bachelor Degree with Finance / Accounting / Banking



Securities brokerage license issued by SSC preferred


  • Collaborative and with Compliance mindset
  • Strong time management along with high motivation to drive for success
  • Thorough attention to detail and accuracy of delivery
  • Teamwork and trustworthy
  • Ability to communicate clearly in English so to explain the detail accurately

  • At least 5+ years of working experience in Customer Service at management companies, banks, securities / brokerage companies
  • Strong analytical skills, numerical aptitude, interpersonal and communication skills
  • Strong problemsolving skills with the ability to research issues where the resolution is not readily apparent

    Computer literacy with common PC applications (i.e. familiarity with Microsoft Office, particularly Excel)


  • External : Clients, Agents of open-ended fund; Banks; Custodian / Supervisory Bank; TA / FA service providers
  • Internal : Investment Operations team; Distribution team; Legal & Compliance team; Front Office; Finance; Life Co side.
  • Báo cáo công việc này

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