Private Banking Support Officer / Investment Advisor
up to USD $140K
- Client on-boarding. Perform a quality check on the account opening file.
- Perform quality checks on credit matters like customer information, posted collateral, spreads, unsecured overdrafts and shortfalls.
- Support CROs on account maintenance by remediating triggers, following up on account documentation deficiencies.
- Ensure that AML alerts are satisfactorily closed within the established period of time.
- Work with the Head of Private Banking to ensure that CROs abide to the current Cross-Border rules (certifications, calls, pre-travel authorizations, expense reimbursement, etc.)
- Review account closure rationale and provide approval for closing.
- Review and authorize proper delivery of Hold Mail.
- Pre-approve activity on Dormant, Succession or inactive accounts.
- Review and authorize transfers (cash and securities). Verify adherence to process, plausibility of transfers, etc.
- Review IAM/BI on-boarding and annual review process.
- Ensure that employees adhere to the clean desk policy. Perform reviews and document findings.
- Contribute to the production of the BRM Report and to definition of the action plan to improve the PB Ex-ante controls.
- Assess and identify new Private Banking risks.
- Support CROs in delivering on their risk management responsibilities, including achieving a clean RSC.
- In delegation of the HoPB manage the CRO Pipeline.
- Sales discipline management in cooperation with Investment Solutions.
- Private Banking Committee Management
- Member of local ManCo
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