BASIC FUNCTION

Assist the Head of Securities Marketing in BDO SGB Treasury in the day-to-day overall activities related to Investment Accounts for the Regulated Activities under the Securities and Futures Act (SFA) and the Financial Advisers Act (FAA) to achieve its overall objectives and targets.

DUTIES AND RESPONSIBILITIES

1. Develop and maintain client relationships to build market share and enhance client asset size over time. Achieve annual revenue targets and objectives.

2. Handle client’s request and instruction directly, including trade processing and inquiries on operational issues.

3. Calls the clients to confirm the client’s orders stated in the Letter of Instruction(LOI) over a SGB recorded line.

4. Assist customers of the BDO SG Branch in the investment account opening application by providing necessary guidance, disclosures and explanations to them;

5. Assist in the categorization of customers (e.g. professional investors, customers with / without derivative knowledge, etc.) by obtaining the necessary documentary proofs and confirmations from the customers;

6. Conduct the investment product selling process upon receiving order instructions from customers;

7. Explain the investment product features, risks, fees and charges, and other sales-related information to the customer;

8. Perform suitability assessment to identify Unsuitable Products (as defined below) (which are disallowed for sale) or Mismatch Products (which require approval from management prior to execution of the order instruction);

9. Conduct other selling process as regulated by the policy and procedures and obtain the required acknowledgement and confirmations from customers during the investment product selling process to satisfy the disclosure requirements.

10. Keep updated on market trends, different investment products and services, and give input for new product development by being aware of clients’ investment needs.