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. Provide investment advisory to Private Banking clients. Formulate investment strategies aligned to clients’ objective and risk profile.

3. Initiate product idea generation as subject matter expert and keep breast of developments in the market.

4. Demonstrate an in-depth understanding of clients’ business and source of wealth generation

5. Maintain full understanding of client goals and risk tolerance to ensure that financial strategies are appropriate

6. Ensure coverage of all relationships through client engagement, risk profiling and financial planning

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 (which are disallowed for sale) or Mismatch Products (which require approval from management prior to execution of the order instruction);

9. Present and communicate complex financial concepts and investment strategies with the highest degree of professionalism

10. Ensure strong controls and effective operational and administrative tasks including compliance on regulatory requirements