CSO, PB

Tasks and Responsibilities

 

- Accepts and processes securities trading orders and cross-checks for investment suitability.

- Ensures adequate funding to cover Client account transaction activity.

- Analyses portfolio positions, maturities, dividends, coupon receipts and corporate actions.

- Reviews client accounts’ investment and transaction activity to ensure alignment with compliance requirements.

- Interacts with clients to service investment needs, detect complaints, and escalate to Management as appropriate.

- Meets in person with Clients as backup for designated Client Relationship Officers.

- Coordinates the establishment of new investment proposals for Clients with Products Specialists.

- Tracks client portfolio investment performance. 

- Prepares new business forecast reports and tracks current pipeline progress.

- Assists in the collection and processing of new loans as well as renewal of existing ones;

- Maintains mandatory account documentation in good order.

- Manages account activity between external Fiduciary Service Providers and EFG.

- Gather, analyze, assist, review and complete client profile update for prospective clients and for existing clients, inclusive of detailed SOW (source of Wealth), based on information collected by client facing staff and reliable public sources.

- Ensures client’s business activities are properly classified in NCM with respect to their profile

- Conducts KYC due diligence check via SmartKYC, Google, Company Search, Internet, etc

- Ensure compliance with all relevant rules and regulations regarding customer transactions and order execution, including the firm’s policy related to Regulation BI and its requierements.

 

 

 

EFG Competencies 

 

• Be Entrepreneurial: Decision Making, Taking Ownership, Strategic Thinking
• Be Future-Oriented: Digital Mindset & Skills, Creativity & Innovation, Critical Thinking
• Have a Growth Mindset: Personal Development, Being Proactive & Curious, Being a Coach
• Communicate with Impact: Giving & Receiving Feedback, Conflict Management, Impactful Communication
• Build Relationships (Championing Diversity): Teamwork, Networking, Inspire Team Management
• Drive Sustainable Performance: SMART Goal Setting, Time Management, Leadership
• Be Client-Centric: Client Excellence – Anticipating clients’ needs, Negotiation Skills
• Have a Sound Risk Management: Analysis & Complex Problem-Solving, Integrity & Rule Compliance 

 

 

 

Requirements

 

- Bachelor’s degree in Business, Finance, Economics and/or related field (Master’s degree preferred).

- FINRA Series 7. Series 66 is desirable. 

- Solid understanding of investment products, financial market fundamentals, account management and administration.

- Minimum five years of work experience in Private Banking, Broker/Dealer or related field.

- High level of interpersonal skills.

- Strong Compliance conviction.

- Fully bilingual (English and Spanish) or (English and Portuguese)