Sr Manager - Front Office Advisory

I. Job Summary

- The FOAG Manager position requires good knowledge of the Wealth Management and Trust industry with very good interpersonal skills and experience working with senior investment, trust and other client facing professionals. In addition, knowledge of financial markets, investment Compliance and Prudent Man Rules is a plus. Incumbent should have more than 8 years of experience in Investment, Trust, Compliance and financial securities domain.

- FOAG Manager will be responsible for creating, developing and leading a team of experienced analysts/professionals. He/She will be responsible for development and implementation of strategy to create a more efficiency and more effective practice in the Front Office and assume labor-intensive tasks from senior front office’s professionals. Along with that, he/she has to ensure timely and accurate team output and ongoing accounts compliance with respective investment guidelines, regulatory requirements and Fiduciary’s internal controls. He/She will also be responsible to oversee and administrate various client certifications and investment restrictions (e.g. FINRA 5031 IPO, Affiliated Funds, directed holdings etc.).

- FOAG Manager will also be responsible for managing daily activities and interaction of his/her team with the front and back office teams. The FOAG Manager will oversee routine reviews and document submissions to ensure the integrity of electronic archives, analyst assignments, as well as various forms of information retention. Additionally, the position will involve oversight of different forms of data maintenance specific to account status tracking, correspondence filing as well as involvement in the administration of the department’s virtual communication and information repository. The position requires the results of these tasks to be well communicated with the front office teams.

- Additional responsibilities include the training, development and support of direct reports to ensure processes and controls are understood, documented, robust, and adhered to accordingly. Actively participate in and lead efforts to expand or strengthen the department’s capabilities in a continuous effort to maintain consistent repeatable processes in an effort to mitigate risk for clients and the firm.

- FOAG Manager may be required at times to work longer hours and on special projects and assignments as needs dictate.

II. Job Duties/ Responsibilities

% of Time/Essential/Non-Essential/Activity

- Overseeing the local team, their work and interaction with the front office and acting as a strategist and quality controller, ensuring clear vision for the department as well as timeless, accuracy and integrity of all work in the department.

- Align activities with strategic priorities

- Responsible for department strategy, planning, talent acquisition and retention

- Coordinate resources allocation to meet all deadlines

- Audits of various sources of information retention

- Data maintenance & administration of the department’s virtual communication and repository

- Ensure quality control and accuracy of final output

- Measure results by establishing, tracking and monitoring key department performance measurements. Use metrics to identify and implement productivity and quality improvements

- Develop and maintain strong business relationships with all stakeholders and supporting business structures

- Hire and coach direct reports on processes and procedures, training and resource allocation. Mentor ongoing development of staff including objective setting, performance reviews and other evaluations

- Communication with global sites and special projects teams.

- 100% TOTAL

III. Requirements

EDUCATION AND EXPERIENCE

- Bachelor’s degree required with a major in Business, Finance, or Marketing / Communications.

- Masters/Advanced Degree in Business, Finance, or Marketing / Communications preferred

- Overall working experience of 8 to 10 years in Wealth Management and Trust Industry; with relevant experience of 5 years

- Previous experience in dynamic data maintenance, storage and distribution environment is preferred.

- Experience in building and managing a cross-functional team is preferred.

- Previous operations experience preferred

- People leading experience including supervisory of 5 to 8 years

- Prior experience in project management in a functional & regulatory environment is desirable

LICENSES AND CERTIFICATIONS (desirable but not mandatory)

- SOX compliance certification

ADDITIONAL DESIRABLE QUALIFICATIONS

- CIMA, CFA

KNOWLEDGE, SKILLS, AND ABILITIES

- Outstanding communication skills, capable of interacting professionally and constructively at all levels and across multiple cultures.

- Strong verbal communication skills, especially ability to interact effectively and professionally with senior-level management.

- Experience of working in Wealth Management and Trust business

- Experience of working with client facing investment professionals

- Experience with Excel and reporting and data software programs

- Experience in projects management is a plus

PROBLEM SOLVING AND DECISION MAKING

- Comfortable in making decisions and being accountable for own decisions, while also consulting appropriately and escalating issues as necessary.

- Proficiency with statistical information, ability to understand data and how it provides evidence that supports written statements.

- Excellent research and analysis skills.

SUPERVISORY RESPONSIBILITY

- Will be supervising a growing team of professionals as the front office support function is develop

DESIRED LEADERSHIP SKILLS

- Need to mentor & guide the team

TRAVEL REQUIREMENTS

- Occasionally

REVENUE/ NON-REVENUE GENERATING

- Non-Revenue