Senior Financial Services Professional
3 weeks ago
At EFG International, we are seeking a highly motivated and experienced Senior Financial Services Professional to join our team. As a key member of our organization, you will be responsible for performing transaction review activities, including suitability, pricing, and regulatory matters. You will also oversee regional office supervision, support Heads of PB in various issues, and assist in responsibilities during absences.
Key Responsibilities:
- Perform transaction review activity, including suitability, pricing, and regulatory matters.
- Help oversee matters concerning regional office supervision.
- Support Heads of PB in a diverse range of issues and assist in responsibilities during absences.
- Participate in the New Account Approval as well as Account Review process.
- Assist in the development of new sales supervision processes.
- Assist in the review and development of existing WSPs.
- Assist in the development of new sales documentation as required.
- Identify opportunities to improve existing tools used in the sales and regional office supervision process.
- Assist other teams (ISG, Regulatory, BRM, Audit) in data management and retrieval matters.
- Participate in the wire transfer review and approval pool.
- Participate in the training of CROs and Managers on matters concerning Supervisory issues and tools.
- Liaise with senior managers and compliance staff as required.
- Engage with Internal Audit, Regulatory team, and regulators as required.
Requirements:
- Bachelor's degree in a related field as well as a minimum of 10 years' experience in a broker-dealer or banking environment.
- General Securities Principal License.
- Series 7, Series 24, Series 4, and Series 53 licenses.
- Strong technical skills in financial instruments as well as in data management.
- Good interpersonal and communication skills.
About Us:
EFG International is a leading Swiss private banking group with global reach and presence. We are passionate about delivering expert advice to our clients, managing their assets, financial, and family affairs, and creating solutions that enable them to reach their financial ambitions in highly competitive markets.
Why Join Us:
We offer a stimulating and dynamic work environment, with a focus on employee development and well-being. Our corporate values - being Accountable, Hands-on, Passionate, Solution-driven, and Partnership-oriented - represent the essence of our brand and encapsulate the DNA of our organization.
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