The Personal Wealth Client Services Officer is responsible for handling the administrative functions of the investment advisors. He/she acts as a back-up for investment advisors and handles basic inquiries regarding account opening, investment transactions, and core investment products, e.g., investment funds, PERA.
Responsibilities
- Performs KYC and account opening
- Monitors and executes trades and transactions
- Monitors documentary and account management compliance
- Coordinates with clients and referrers to ensure compliance with documentary and transactional requirements
- Coordinates with various units for the fulfillment of account opening and trade transactions and for monitoring account compliance
- Attends to basic queries of branch on investment funds
- Handles investment queries from clients and referrers
- Assist the investment advisors and the Division Head in monitoring the team's compliance in various internal and audit requirements
Qualifications
- Graduate of any 4-year business course from reputable universities
- Has interest in investment, sales, and administrative functions
- Must earn mastery of investment sales process
- Must have sufficient understanding of relevant risks, internal policies, and external regulations
- Able to communicate basic product features and process to internal and and written communication
- Certification Requirements: AMLA Trainings / BPI Mandatory Courses, TOAP UCP Certified, PERA Certified, SEC Mutual Fund CIS
