Securities Dealer (Capital Market | WM)

This is a perm role for one of our banking client

Job Scope

• Responsible for the dealing/execution of capital markets products to fulfill Wealth Management orders
• Providing Wealth Management unit with a wide array of products after performing product due diligence and risk assessment, where required for recommended products

Job Description:

• Ensures timely execution of Securities, Structured Product, Fund and Alternative Investment order/transaction and accurate capture of all executed transactions in the applicable trading platform
• Scouts the market and recommend ideas that may be offered to clients to provide clients with a wider array of products that will fit their investment/trading needs
• Facilitates the new product processes to be offered (coordinates the product due diligence and risk assessment)
• Discusses any issues with stakeholders at all stages of the product due diligence and risk assessment process
• Conducts post launch reviews on all approved products
• Conducts ad-hoc and annual reviews to ensure that the product risk levels of all approved products are properly adjusted, if necessary, based on current market conditions and the Branch’s business condition
• Ensures the policies and procedures in relation to the product due diligence and risk assessment are updated in accordance with prevailing rules and regulations
• Ensures regulated activity business is operating in accordance with applicable SFA and MAS regulations. Handles queries of regulatory authorities related to the regulated activity business
• Perform other duties assigned from time to time

Educational Qualifications:

• Bachelor’s Degree(s)
• Minimum 5 years’ experiences in Private Banking Advisory and Execution Desk (Multi asset experiences is a plus)
• Passed or certified with FMRP, CMFAS RES2B (previously M1B), CM-EIP (Previously M6), CM-SIP (Previously M6A), CACS 1 and CACS 2
• Familiar with trading system: Bloomberg, MarketAxess and core banking system such as Avaloq is a plus
• Advanced MS Excel, VBA, Phyton knowledge is a plus
• Detail oriented and demonstrates thoroughness and strong ownership of work
• Good team player with a strong willingness to participate and help others
• Able to prioritize in a fast moving, high pressure, constantly changing environment; Good sense of urgency

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Joselito ||| EA Registration: R251265801