- Understand, acknowledge and comply with the requirements onindividual accountabilities and responsibilities of the job set out in applicable local laws and regulations as well as SCB internal policies;
- Effectively ensure and intensify internal controls by keeping abreast with developments of applicable local laws and regulations on accountabilities;
- Perform job duties with diligence, contribute to efforts as an individual or as a team member so as to avoid any actual or potential legal sanctions, regulatory penalties, material financial loss, or adverse reputational impact on the Bank;
- Be responsible for failure to follow relevant rules and processes, failure to properly perform the responsibilities, and implement corrections;
- Cooperate with any investigations or reviews on regulatory failure such as accountability review.
- Deliver allocated performance targets for various product VSs;
- Maintain relationship with customers and deliver superior customer service to ensure customers' needs are met;
- Enhance bank-customer relationships by expanding existing customers' portfolio holdings;
- Actively participate in Priority Banking / other Bank's marketing and promotional activities to acquire NTB customers, as well as cross-selling to existing customers;
- Proactively engage with Personal Clients hidden affluent and advise to approach bank with complex investment needs;
- Accountable for implementing and complying with AML requirements when performing duties;
- Ensure compliance of Management Manual, Operating Manuals and Bank's laid down knowledge of the various products offered by all departments;
- Learn and understand all relevant regulations and internal Risk & Compliance policies and procedures;
- Keep updated on the events in the financial industry;
- Participate actively in training programs, meetings, briefings organized by the bank and ensure skills & knowledge acquired is applied to daily work;
- Ensure timeliness & managing customer's complaint;
- 理解、认同并遵守本地法律法规以及渣打内部政策中关于个人问责和职责的要求;
- 跟上本地问责法律法规的发展,以有效地确保并强化内控;
- 审慎勤勉地履行岗位职责,以个人或团队成员的身份,为避免任何导致银行遭受或可能遭受法律制裁、监管处罚、重大财务损失或声誉负面影响而做出努力;
- 对未遵守相关规范和流程、未适当履行职责以及未执行整改措施承担相应责任;
- 配合任何关于违反监管规定的调查或审查,例如,问责审查。
- 实现领导安排的各个产品的业绩指标;
- 维护与客户的关系并提供卓越的客户服务以确保满足客户需求;
- 通过扩大现有客户的投资组合加强客户与我行的关系;
- 积极参与优先理财/其它银行营销项目,以获取新客户。另外,向现有客户进行交叉销售;
- 主动发现具有"优先理财"资质的个人理财客户, 并发掘其投资理财需求;
- 负责实施各项反洗钱的需求并且确保符合反洗钱的合规要求;
- 遵循银行的管理手册,操作手册和所有部门相关产品的既定政策;
- 学习并了解一切相关条例以及内部风险与合规的政策与程序;
- 保持对金融行业相关动向的敏感;
- 积极参与银行组织的培训项目,会议和简报会,并保证将学习到的技能和知识运用到日常工作中;
- 确保客户投诉的时效与管理;
- Responsibilities that are related to the development and implementation of a strategy, for example,
- Responsibilities related to the delivery of business and / or financial objectives, for example,
- Reference the processes for which the Role Holder is responsible, as per the Operational Risk Framework definition of first / second line, for example,
- Responsibilities relating to identifying, assessing, monitoring, controlling and mitigating risks to the Group, as well as an awareness and understanding of the main risks facing the Group and the role the individual plays in managing them. For example -
- Responsibilities relating to the direction, planning, structure, frameworks ( processes and policies) and oversight. For example,
- Display exemplary conduct and live by the .
- Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
- Lead the [country / business unit / function/[team] to achieve the outcomes set out in the Bank's Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.]
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
- List all responsibilities associated with the management of stakeholders
- A University graduate.
- 1 year or above working experience in financial industry, acting in good faith and professional ethics. Have a good command of knowledge about wealth management sales activities related regulations
- Sound knowledge of financial products and services and banking procedures, equities markets, unit trusts and other personal investment services are preferred.
- Good investment counseling and analytical skills.
- Strong interpersonal and communication skills, ability to deal with all levels of people, often in complex and difficult situations.
- Team player who shows initiative and assertiveness.
- Self-motivator who is keen to upgrade, improve personal knowledge and skills to meet job requirements.
- Good command of both spoken and written English and Mandarin
- 大学本科学历。
- 从事金融工作1年以上,具备良好的诚信记录及职业操守
- 熟悉理财业务活动及理财产品销售相关的法律法规
- 熟悉银行产品、服务、银行程序、股票市场、单位信托以及其它个人投资服务。
- 具备良好的投资咨询和分析技巧。
- 出色的人际关系能力和沟通能力,能在复杂场合应付自如。
- 具有团队意识,主动坚定。
- 有上进心,能自我激励,不断提高人际交流能力和技巧,以满足工作要求。
- 除上述工作职责外,员工应遵循直属经理随时指派的任何工作职责和任务。
- Above key responsibilities and selection criteria are the major assessment to assess the staff if qualified during probation and competent after probation. Failing to satisfy any of the aforesaid requirements, or failing to pass the CPBB Essentialsor WM Introduction Certification, the employee will be deemed not meeting the recruitment requirement for passing probation, and the Bank is entitled to terminate the employee's employment contract immediately. For employee which have passed the probation, failing to pass the CPBB Essentials or WM Introduction Certification will be taken as assessment basis for job incompetency.
- 以上的主要工作职责和岗位聘任要求是用于考核试用期是否符合录用条件和工作胜任与否的标准。倘若员工未能满足前述要求,或未能通过CPBB Essentials测试或理财产品介绍资格认证测试的,则该员工将被视为不符合试用期的录用条件,银行有权立即终止员工的劳动合同;对于已过试用期的员工,未能通过CPBB Essential测试或理财产品介绍资格认证测试的,将作为不胜任工作工作岗位的考核依据。
- Before attend and pass the CPBB Essentials and WM Introduction Certification course, the employee should not perform any kind of business communication / engagement to customers.对于还没有参与并通过CPBB Essential入职培训或理财产品介绍资格认证测试的员工, 禁止跟客户有任何业务上的交流。
- Please note that the job description above will be reviewed during the Job Objective setting every year, which may be amended and agreed where necessary by the employee and the line manager.
- 请注意以上本工作描述将于每年制定年度工作目标时予以审核,如有必要将由直属经理和员工予以修订并达成一致。
- In this document, Chinese version shall prevail over English version.
- 本文件若中英文表述不符,应该以中文为准。
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Priority Relationship Manager - Shanghai, 中国 - Standard Chartered Bank
描述
:OngoingCustomer sales and service
职责范围:
客户销售与服务
Responsibilities
主要工作职责/挑战:
. Strategy
Business
Processes
People & Talent
Reference all responsibilities related to people and talent matters, for example:
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Risk Management
All responsibilities under the Risk Management Framework – both execution and supervisory – should be referenced, for example,
Governance
Regulatory & Business Conduct
Key stakeholders
Qualifications
Training, licenses, memberships and certifications
Selection Criteria:
职位要求:
Other then above roles, job holder should follow other job duties and responsibilities assigned by line manager from time to time.
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