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Private Bank - Market Supervisory Manager - Vice President
senior · Risk & Compliance
You will work in close partnership with Investors, providing control and oversight of the investment business. Familiarise yourself with our Private Bank product offering and become a trusted partner for advisors in suitability questions.
As a Vice President in our International Private Bank Supervisory Management Team, you will oversee daily market operations, ensuring compliance and providing first-level control and oversight of investment activities. Your role involves reviewing client trading activities, assessing suitability profiles, and supporting investors with trading activities. This work is crucial in maintaining the integrity of our wealth management services and ensuring client satisfaction.
Job responsibilities
- Escalate issues to senior management within all areas of the 1st, 2nd and 3rd lines of defence
- Provide 1st level control and oversight of the investment business
- Review and assess client trading activity and any potential suitability issues on a pre-execution basis
- Review and assess client suitability profiles independently based on data collected from clients and the front office
- Review and assess investment concentration issues in client accounts
- Review materials provided to clients to ensure they are appropriate and aligned to the clients investment objectives and needs
- React to, manage and handle potential client situations e.g. trading errors or client complaints
- Attend front office meetings to provide relevant feedback and stay apprised of their current priorities
- Perform change management in respect of changes in policies / procedures / processes where these relate to investment activities e.g. implementation and training on enhanced suitability framework; new trading protocol; etc.
- Coordinate audit and liaison activities as required
- Perform Operational Risk reporting and investigation
Required qualifications, capabilities, and skills
- Significant experience with financial institutions in first line of defence oversight and control, supervisory risk and control or related functions
- Bachelor's degree in business, finance, or related field
- A self-motivated individual who is enthusiastic and has a keen interest in risk and control frameworks as well as the regulatory landscape
- Excellent organisational skills and attention to detail, including the ability to manage multiple work-streams to tight deadlines and re-prioritise as required
- Think like an owner with a business mind-set and able to deal with issues independently
- A strong interest in and sound understanding of financial markets, products and wealth management is prerequisite for any potential candidate
- Strong and proven experience gained within a financial institutions including monitoring experience
- Strong communication and negotiation skills: the role will involve communicating with employees of varying levels, with diverse roles and different native languages.
- Fluency in English and language of the platform
Preferred qualifications, capabilities , and skills
- A Master’s degree in business, finance, or related field
- Fluency in the following languages is a plus – Spanish, French, Italian