- Understand, acknowledge, and comply with the requirements on individual 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.
- Study Portfolio Management Strategy based on customer's needs and wealth planning concept, provide PP clients with professional, comprehensive, and tailor-made investment and insurance planning services, including saving, investment, education, and retirement, as well as asset allocation and wealth inheritance proposals.
- Maintain good and warm relationship with PP customers and deliver superior customer service to ensure PP customers' needs are well met. Continuously improve customer's satisfaction and loyalty.
- Enhance bank-customer relationships by expanding existing portfolio holdings of PP clients; Regularly review customer's asset allocation, and seek matching points between customer needs and banks' on-shelf products, and assist to complete the application process.
- Proactively engage with potential Priority Clients and explore their financial and investment needs; achieve performance targets such as client engagement, portfolio planning and revenue targets.
- 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.
- 主要工作职责/挑战:
- 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。
- 运用财富规划理念,以客户需求为导向,研究财富管理策略。为PP客户提供专业全面、量身打造的投资及保险规划服务,包括保障、储蓄、投资、子女教育、退休计划等,以及资产配置及财富传承方案。
- 与PP客户保持良好沟通,维护与PP客户的关系并提供卓越的客户服务以确保满足PP客户需求;做好维护与服务跟踪,不断提高客户满意度和客户黏性。
- 通过扩大现有客户的投资组合加强客户与我行的关系;定期复盘客户资产配置状况,将客户需求与本公司的金融产品进行匹配,并协助其完成申请流程;
- 主动发现具有"私人财富"资质的个人理财客户, 并发掘其投资理财需求;全方位达成客户接洽、财富规划和业务指标等各类业绩目标。
- 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, Awareness and understanding of the Group's business strategy and model appropriate to the role.
- Responsibilities related to the delivery of business and / or financial objectives, for example, Awareness and understanding of the wider business, economic and market environment in which the Group operates
- Reference the processes for which the Role Holder is responsible, as per the Operational Risk Framework definition of first / second line, for example, Responsible for executing and supervising the Budget process.
- Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with risk and control partners.
- Ensure the provision of ongoing training and development of people, and ensure that holders of all critical functions are suitably skilled and qualified for their roles ensuring that they have effective supervision in place to mitigate any risks.
- Employ, engage and retain high quality people, with succession planning for critical roles.
- Responsibility to review team structure/capacity plans.
- Set and monitor job descriptions and objectives for direct reports and provide feedback and rewards in line with their performance against those responsibilities and objectives.
- 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 -The ability to interpret the Group's financial information, identify key issues based on this information and put in place appropriate controls and measures
- All responsibilities under the Risk Management Framework – both execution and supervisory – should be referenced, for example, Act as the [Process] risk control owner under the Group's Risk Management Framework (including relevant Operational Risk Framework ownership for [Liquidity] risk.
- Responsibilities relating to the direction, planning, structure, frameworks ( processes and policies) and oversight. For example, Responsible for assessing the effectiveness of the Group's arrangements to deliver effective governance, oversight and controls in the business and, if necessary, oversee changes in these areas; Awareness and understanding of the regulatory framework, in which the Group operates, and the regulatory requirements and expectations relevant to the role.
- Display exemplary conduct and live by the Group's Values and Code of Conduct.
- 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 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 regulators, other bank teams
- Embed Here for good and Group's brand and values in XXXX [country / business unit / team]; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats); [List all responsibilities associated with the role]
- A University graduate.
- Top performer in city ranking, with more than 5 years' frontline sales experience in banking or financial services industry.
- No severe conduct case in last 1 year.
- Solid knowledge of financial products and services, banking procedures, equities markets, unit trusts and other personal investment services.
- Candidates with CFP/AFP/CFA, or other certificates related to Wealth Management 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。
- 所在城市的销售业绩优异者,具有5年以上的银行和金融服务行业的前线销售经验。
- 近一年内无严重违规记录。
- 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。
- 持有财富管理类、国际金融理财师(CFP)或相关证书(AFP,CFA等)者优先考虑。
- 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。
- 具备较好的中英文口头及书面沟通能力。
- Financial skills
- investment counseling and analytical skills
- CFP/AFP/CFA holder
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Executive Relationship Manager, Priority Private - Beijing, 中国 - Standard Chartered Bank
描述
Role Responsibilities
Job Summary
Customer sales and service for PP clients: provide professional, comprehensive, and tailor-made financial service to Priority Private clients at asset allocation and wealth management, keep improving customer satisfaction and stickiness.
职责范围:
PP客户的销售与服务:为Priority Private客户提供全面、专业、量身定制的投资及保险规划服务,不断提高高端客户的满意度和客户黏性。
Responsibilities
Strategy
Business
Processes
People & Talent
Reference all responsibilities related to people and talent matters, for example:
Risk Management
Governance
Regulatory & Business Conduct
Key stakeholders
Other Responsibilities
Our Ideal Candidate
Selection Criteria:
职位要求
Other than above roles, job holder should follow other job duties and responsibilities assigned by line manager from time to time.
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 Essentials or 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。
Role Specific Competencies
