Strategy

• Develop a thorough understanding of each allocated customer’s business, and understanding of their potential needs for Financial Markets products, through regular liaison with SCB’s principal RM for each customer (e.g. Corporate, GAM), as well as through direct contract with the customer.
• Establish and maintain a constructive relationship with the decision maker(s) for Financial Markets products for each allocated customer, through regular calling, visits, entertainment, etc., with the objective that the customers always place SCB on their priority list.

Business

• Respond speedily and positively to all requests from customers for a specific transaction, or for more general advice, or introduction to a more appropriate contact within SCB, irrespective of the request is from the specially allocated group of customers or not.
• Liaise with product traders to analyse the acceptance ratio for quotations provided to each customer, alongside feedback from the customer concerning competing quotations accepted in preference to SCB’s, in order that the traders may factor this information into their pricing decisions.
• Liaise with Operations concerning customer feedback received on service delivery quality, in order to seek improvements in service delivery where viewed as necessary from the customer’s perspective.
• Liaise with RM’s and SCB product specialists in regions which customers are with potentials, in order to exchange information, to introduce the customer to respective SCB products, and to contribute generally to the relevant regional or global customer database.
• Liaise with RM’s and SCB product specialists to explore client’s needs, address their concerns and to deliver them suitable services and products, in order to gain more market shares for SCB.
• Monitor the utilisation of each customer’s trading limits with SCB, obtain specific approval for any excess likely to arise as a result of a particular transaction, and alert respective coverage/GAM if it appears that a higher limit would lead to additional profitable business in Treasury products.

Processes

• Ensure adherence to all internal and external regulations.
• Ensure that all processes in country are adhered to in line with approved policies and procedures.
• To embed Operational Risk monitoring as an integral part of the business process. Towards this, to effectively carry out the assigned role, if any, under Compliance Risk Management and Operational Risk Management Assurance.
• Ensure that the business meets its obligations the prevention of money laundering under the Group Policy and Standards and under local laws and regulations.
• Help ensure that there are appropriate and documented internal controls and procedures in place. Help monitor the operation of such procedures and controls and regularly review them to ensure that they reflect any changes in products, systems, policy and regulations

People & Talent

• Assist as requested with the training of less experienced colleagues.

Risk Management

• Managing risk and compliance as part of the role. Take personal responsibility for understanding the risk and compliance requirements of the role.
• Embed operational risk management and reporting as an integral part of the business process.
• Ensure that adequate and appropriate systems and controls are in place to comply with Group and Business policies, procedures, standards and codes.
• Understand and comply with applicable laws and regulations, the Groups policies, procedures and the Group Code of Conduct. Effectively identify, escalate, mitigate and resolve risk and compliance matters. Contribute to a culture in which all stakeholders feel safe to raise concerns and where risk and compliance matters are addressed and misconduct appropriately dealt with.

Regulatory & Business Conduct

• 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.
• Achieve the outcomes set out in the Bank’s Conduct Principles : Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Adherence to code of conduct prescribed by FCA.

Governance

• Promote an environment where compliance with internal control functions and the external regulatory framework is a central priority of the business
• Establish, maintain and supervise the framework to ensure business functions under my area of responsibility comply with internal policies, procedures, codes and applicable external laws and regulations and adhere to the expected high standards set out in the FM Code of Conduct
• Ensure the overall targets relating to budget are cascaded to teams with appropriate product targets and performance delivery on targets is proactively managed
• Embed the Group’s values and code of conduct in FM Sales 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
• Engage with all audit report findings, relevant to the FM Sales business and ensure feedback is acted upon
• Accountable for all escalations from country to Regional Head of FM Sales and country Head of FM or to other stakeholders in senior management, risk or control functions as appropriate

Key stakeholders:

Internal

• FM Colleagues and other CCIB colleagues
• Operational Risk
• FCC
• Other support and control functions

External

• Key clients and potential clients

Other responsibilities

• Embed Here for good and Group’s brand and values in FM Sales team,
• Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

• 3 years of experience in sales role in Financial Markets, basic knowledge and trading experiences in financial securities and derivatives. HKMA Type 1 & 4.