WM - Team Head
BNP Paribas
HK, Hong Kong (HK)
5天前

Position Purpose

  • Contribute and responsible for the team performance, achieving efficiency, risk control and promoting team spirit and professionalism
  • Identify, originate, develop and maintain Wealth Management client relationships for clients on an advisory basis
  • Manage existing and new client relationships in a thoroughly professional manner with the full support management and in line with the professional ethics and guidelines established by BNP Paribas ( the Bank ) from time to time
  • Key Responsibilities

  • Meet annual goals / budgets set by manager for the team and self (if applicable)
  • Develop existing and new relationships
  • Market a full range of Wealth Management products and services in a diversified manner to existing and new clients
  • Maintain communications with clients to assess their needs and risk profile, advise on appropriate investment mix
  • Cultivate and manage relationships with other areas of the Bank to promote cross-selling
  • Ensure product documentation including credit facilities is at all times correct and appropriate
  • Maintain good level of knowledge of the Bank’s systems and regulatory environment
  • Contribute to the definition and implementation of WM Asia’s strategies and goals
  • Contribute to the recruitment, performance management and career development of the team
  • Financial Security

  • Ensure compliance with Bank’s policies / procedures and regulatory requirements, in particular with regards to the KYC responsibilities and duties, as per relevant policies and procedures, and the summary of responsibilities list below :
  • Summary of SBO / SCBO Responsibilities pertaining to

    Know Your Customer and AML / Sanctions Policies

    The RM, when acting as SBO / SCBO

  • must initiate the KYC on boarding process and is responsible to collect the KYC data (with support of the appropriate teams in charge of due diligence);
  • is primarily responsible for ensuring that customer due diligence has been completed to a satisfactory standard, and is kept up-to-date;
  • makes an assessment whether starting a new relationship or maintaining an existing relationship with a customer is appropriate, in respect of the reputation and the money laundering / terrorist financing / sanctions risks, irrespective of the possible type of business the customer is currently doing or intends to do with the bank.
  • This assessment must be formalized in writing in the KYC package (qualitative SBO opinion describing the risks and their mitigants is mandatory in all cases);
  • uses the KYC scoring grid and his / her judgment to determine the sensitivity, assisted by the teams in charge of due diligence.
  • He / she provides the teams in charge of due diligence with the knowledge / details they need when contacts with customers is required;
  • submits the customer’s KYC file to the CAC (Customer Acceptance Committee), as may be required, and provides the CAC with all information and documentation it may require;
  • contributes to assess the relevance and appropriateness of offering and / or maintaining certain products and services of the Bank in view of the risk profile of the customer;
  • contributes to the detection of any unusual and / or suspicious transactions by his / her customer with due reporting to a Compliance Officer;
  • and employs his / her best efforts to maintain a thorough knowledge of his / her customer from available documentary sources and regular direct contacts with them;
  • finally, he / she must keep the KYC up-to date in accordance with the Bank’s standards. In particular, he / she must trigger an ad-
  • hoc review as soon as necessary, notably in case of becoming aware of any material adverse information in connection with any of their customers in the field of AML-

    CTF, in accordance with the relevant KYC policies and procedures.

    Control Aspect

  • Direct contribution to the Bank’s operational permanent control framework
  • Responsible for the implementation of operational permanent control policies and procedures in day-to-day business activities, such as Control Plan
  • Comply with regulatory requirments and internal guidelines
  • Responsible for ensuring direct reports comply with regulatory requirements and internal guidelines
  • Responsible for reporting all incidents according to the Incident Management System
  • Competencies

  • Client-focused with excellent interpersonal and communication skills
  • Good leadership skills
  • Lead by example
  • A team player with good initiative and team spirit
  • Relevant language skills
  • Specific Qualifications Required

  • University degree
  • Relevant banking experience
  • Team management experience is preferred
  • Must fulfill the fit and proper criteria of relevant regulators
  • Must fulfill the BNP Paribas Private Banker Certification requirements (if applicable)
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