Job Mandate
Regulated Activity Business
Responsible for the dealing capital markets products to fulfill customer requirements of the branch with the objective of providing accredited investors with a wide array of products after performing product due diligence and risk assessment, where required for recommended products.
Duties and Responsibilities
1. Services the capital market products requirements of accredited investors.
2. Scouts the market and recommend fixed income/equities/funds products that may be offered to clients to provide clients with a wider array of products that will fit their investment/trading needs.
3. Facilitates the product approval process for new products to be offered by the Branch.
4. Coordinates the product due diligence and risk assessment process for new products.
5. Engages all relevant stakeholders to drive the product due diligence and risk assessment process.
6. Discusses any issues with stakeholders at all stages of the product due diligence and risk assessment process.
7. Provides support to the stakeholders in the product approval process.
8. Advises the relevant business lines on the progress of the product approval process.
9. Ensures timely execution of securities/funds purchase and sale transactions.
10. Ensures accurate capture of all done transactions in the applicable trading platform.
11. Conducts post launch reviews on all approved products.
12. 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.
13. Ensures the policies and procedures in relation to the product due diligence and risk assessment are updated in accordance with prevailing rules and regulations.
14. 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.
15. Perform other duties assigned from time to time.
