Senior
EMEA Trading Supervisory Management - Senior Associate
As a EMEA Trading Supervisory Management - Senior Associate in Trading SM you will be responsible for overseeing the wealth management cross asset trading desks business and operations with exposure to marketing topics as well within strategic projects and initiatives from the business. The Global Wealth Management (“GWM”) Supervisory Manager for products (“Trading SM”) is responsible for all aspects of sales supervision and risk review for Solutions across all Asset Classes in their assigned regions/teams. The Trading SM coordinates and works closely with Risk, Control, Compliance and Legal on issues that arise in the product teams (“Solutions”).
Job responsibilities
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Deals effectively with the trading desk and oversees daily operations
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Identifies potential risk areas and / or control gaps along with daily monitoring of trading and business processes
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Evaluates desk procedures and client communication for appropriateness
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Reviews and approval of daily trade alerts and exception reports for trading desk
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Reviews Marketing Materials to ensure the materials adhere to applicable regulatory requirements and bank policies
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Manages and coordinates projects in relation to business communications by liaising with business and Marketing teams
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Manages audit projects by demonstrating adherence to internal policies and procedures, as well as providing all necessary documentation in accordance with internal/external examiners' requests
Required qualifications, capabilities and skills
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University degree or above
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Proficient in English
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Controls related experiences within the financial services industry especially with experience in reviewing and approving Marketing Materials
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Understanding of wealth management business including process flows, services, regulatory/control requirements
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Work independently and at the same time act as a good team player
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Problem solving mindset, ability to take initiative to resolve issues
Preferred qualifications, capabilities and skills
- Comparable roles, Compliance, Surveillance, Risk/Operational Risk management or Audit experience
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