Job Mandate
For Regulated Activity Business
Responsible for overseeing and supervising the daily operations of the Securities Dealing Team to meet 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. Supervises the Securities Dealer and is responsible for the day-to-day activities of the Securities Dealing Unit.
2. Provides for the best execution of capital market products requirements of accredited investors.
3. Scouts the market and recommend securities/structured note/fund products that may be offered to clients to provide them with a wider array of products that will fit their investment/trading needs.
4. Facilitates the product approval process for new products to be offered by the branch which include risk assessment, coordination and engagement of all relevant stakeholders.
5. Ensures timely execution of securities purchase and sale transactions.
6. Ensures accurate capture of all done transactions in the applicable trading platforms.
7. Conducts post launch reviews on all approved products.
8. Ensures regulated activity business is operating in accordance with applicable SFA and MAS regulations.
9. Handles queries of regulatory authorities related to the regulated activity business.
10. Facilitates the review of contracts/agreements with dealers/ brokers/ service providers necessary for the execution of client orders
11. Performs other duties assigned from time to time
