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”). 

Within strategic projects and initiatives from the business, Trading SM is currently hiring an individual responsible for overseeing the wealth management cross asset trading desks business and operations with exposure to marketing topics as well. 

Job responsibilities 

Deals effectively with the trading desk and oversees daily operationsIdentifies potential risk areas and / or control gaps along with daily monitoring of trading and business processesEvaluates desk procedures and client communication for appropriatenessReviews and approval of daily trade alerts and exception reports for trading deskReviews Marketing Materials to ensure the materials adhere to applicable regulatory requirements and bank policies Manages and coordinates projects in relation to business communications by liaising with business and Marketing teams 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 University degree or aboveProficient in both English Controls related experiences within the financial services industry especially with experience in reviewing and approving Marketing MaterialsUnderstanding of wealth management business including process flows, services, regulatory/control requirementsWork independently and at the same time act as a good team playerProblem solving mindset, ability to take initiative to resolve issues

 

Required qualifications, capabilities and skills

University degree or aboveProficient in both English Controls related experiences within the financial services industry especially with experience in reviewing and approving Marketing MaterialsUnderstanding of wealth management business including process flows, services, regulatory/control requirementsWork independently and at the same time act as a good team playerProblem 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 is preferred