Senior Relationship Manager - Equities

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Senior Relationship Manager - Equities

senior · Sales & Business Development

Key Responsibilities

Strategy

• The primary role will be to act as an interface with Standard Chartered Private Bank clients for his trading and execution needs and aimed at addressing their equity and related needs. The role is to execute orders on the registered Stock Exchanges on behalf of the company’s customers while ensuring ease of transaction and adherence to policy guidelines.
• Also, it entails close interaction with the Private Bank team.
• Contribute to strategy design by providing relevant insights and market information.
• Support the execution of the strategy by leading and participating in key projects.

Business

• Maintaining a good rapport with the customer.
• Receive and place orders in the trading system ensuring adherence to customer authentication norms.
• Strive for a 100% error free record of dealing.
• Adhere in letter and spirit to the Do’s and Don’ts for dealers rolled out by the compliance dept.
• Attend to customer queries and complaints in a professional manner and in accordance with the policy on complaint management.
• Generate revenue from customers through constant interaction and information dissemination of the markets and house views.
• Work closely with the Broking Head on sales strategy and improvement of quality and service standards.
• Cross-sell or pass leads for customer’s ancillary requirements.
• Maintain customer data confidentiality.
• Maintain a professional atmosphere in the dealing room. 
• Handle all the responsibilities including compliance, risk, administration and customer complaints of the branch/es.
• Manage region’s profitability.

Processes

• Awareness of all policies and procedures issued from time to time
• Make sure trades are executed in an accurate and timely manner.
• Achieve good client outcomes through proper client profiling to identify client needs and provide corresponding investment solutions.

People & Talent

• Foster teamwork and collaboration at all levels of the firm.
• Spend time enhancing initiatives and securing mandatory certifications and licenses.

Risk Management

• Making sure that the operational risks are well controlled.
• Manage financial, regulatory & reputation risk for the firm and its clients prudently.
• Maintain the confidentiality of sensitive information.

Governance

• Awareness and complying with all policies and procedures issued from time to time
• Review operational controls periodically to ascertain effectiveness

Regulatory & Business Conduct 

• Provide oversight in line with the Standard Chartered Conduct Principals across clients in India
• To ensure compliance with the highest standards of regulatory and business conduct and compliance practices as defined by internal and external requirements. This includes compliance with local banking laws, other applicable laws (e.g. laws governing securities activities, company law) and anti-money laundering regulations and guidelines. This includes the responsibility for the conduct of individuals in the team and  ensuring behaviours set out in the Group Code of Conduct are followed and that team collectively  achieves the outcomes set out in the Conduct Principals and Pillars.
• Take personal responsibility for understanding the risk and compliance requirements of the role. Understand and comply with, in letter and spirit, all applicable laws and regulations, including those governing anti-money laundering, terrorist financing and sanctions; the Group’s policies and procedures; and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters. Embed the Group’s values and code of conduct to ensure that adherence with the highest standards of ethics, and compliance with relevant policies, processes and regulations among employees form part of the culture.

• Display exemplary conduct and live by the Group’s Values and Code of Conduct.
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
  
  

Key stakeholders

• SCB PVB RMs, Cluster Heads & Investment Specialists from PVB Segments.
• Function heads – Investment Strategy, Technology, Risk, Operations, Compliance, Products, and Finance.

Other Responsibilities

• Embed Here for good and Group’s brand and values; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures;

Skills and Experience

• In-depth knowledge of economic and market trends 
• Knowledge of business management principles and practises 
• Disciplined approach to risk management and an understanding of client appetite for risk
• Strong numerical and analytical skills 
• Working knowledge of MS Office suite of applications

Qualifications

Education

• Master’s degree preferably in Finance from a reputed university 
• The candidate must be a highly motivated and seasoned professional with strong experience and knowledge of equities, derivatives & MTF products and strategies.
• At least 6-8 years of solid sales / dealing experience in the financial services sector with a proven track record and a portable client base. Out of this, at-least 3-4 years should be in prior broking firm.
• Strong interpersonal, communication and presentation abilities. 
• Good balance of technical competency and financial knowledge

Certification

• Requisite NISM certifications

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.

Together we:

• Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

• Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
• Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
• Flexible working options based around home and office locations, with flexible working patterns.
• Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
• Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

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