Client Coverage Responsibilities (Internal and External Clients including market participants)
Act as lead the lead relationship owner for areas of clients/ products allocated within area of responsibility
Support on-boarding new clients e.g. KYC and legal documentation to allow execution of transactions
Develop long term relationships with clients based on trust and professionalism
Respond to various request from clients related to products, on boarding process, events, documentation e.g. legal and commercial; Analyse, investigate, research, manage and resolve queries received from clients
Build, foster and cultivate client relationships in line with regulatory requirements
Introducing clients to the appropriate business lines to allow SG to become more relevant towards these clients
To generate a recurring stream of revenues with these clients by enhancing new client products suitable for clients needs and / or develop new client prospects
Product Scope Responsibilities
Implement team business plan to develop SG business as directed
Execution of relevant product transaction on behalf of SG Clients and pricing in line with policies and guidelines applicable. Making sure that all the procedural guidelines e.g. KYC, Mifid, risk controls, product governance are observed
Ensure business solutions for operational issues related to the products sold with IT teams, back-offices, middle-offices
Knowledge Management Responsibilities
Maintain up to date intelligence on market initiatives and client demands
Risk Management Responsibilities
Ensuring compliance with sales procedures and guidelines including Sales Handbook and regular training as applicable to the regulatory requirements
To further improve SG market share and reputation through professionalism, discipline and attention to risks e.g. compliance, market, credit, legal, reputation.
Ensure full adherence to the SG Sales responsibilities including sales handbook and regular training as applicable to the regulatory requirements
Conduct Responsibilities
Responsibility to adhere to internal Policies that relate to you, your business or other businesses for which you have any level of responsibility. It is your responsibility to ensure compliance with operational and conduct risk requirements (e.g data leakage, security policies and regulatory requirements).
Adhere to individual and where applicable department conduct rules in accordance with the FCA and PRA Code of Conduct rules
Responsibility for managing, controlling, preparing and escalating risk within the scope of your position and in line with existing policies.
Responsibility to ensure that you take reasonable steps to be fully aware of, understand and comply with all regulatory requirements from all regulatory and statutory bodies, trading venues, etc that are applicable to your role and business line.
To assist in the self identification of all conduct related issues. Ensure escalation to appropriate stakeholder or function whether internal or external.
Adhere to business line mandates relevant to the role as directed by your manager
