Supervises the daily operations of the company to ensure that they are in compliance with relevant ordinances, anti-money laundering related regulations, rules and guidelines. Reports to and obtains instructions from the Manager – Compliance/ Anti-Money Laundering if necessary.

Provides quotes and executes orders.

Solicits business from existing and prospective customers. Prepares call reports and credit proposals. Monitors portfolios and brings issues to management’s attention as required.

Provides investment advice to investors on their assets. Achieves sales and business targets which include new client acquisition and existing clients’ asset management. Monitors sales activities and performs control assessment to ensure compliance with internal and external regulatory requirements. Builds and maintains relationships with the clients. Provides timely investment information to business partners and maintains their awareness of the company’s investment products. Coordinates client request for proposal responses with the relevant teams and prepares presentation material pitch books by working closely with the internal teams.

Handles all aspects of investment products operations in areas of settlement, nominee and custodian services, etc.

Supervises routine operations of IT systems. Assists in scheduling and coordinating activities of operations.

Provides financial planning/wealth management services to customers. Promotes various investment, insurance and banking products to meet business targets.