Custody and settlement - customer relations

2.3.10 Custody and settlement – customer relations

Description of role

Responsible for servicing asset management client accounts and identification of opportunities for extended asset management services, including customer notification and inquiry

Core skills

Knowledge of basic features and characteristics of asset management products and investment concepts suitable for asset management clients
Knowledge of the basic sales and account servicing and relationship management techniques to generate client focused solutions to cater to asset management clients
Ability to perform periodic review of client accounts, including client due diligence (AML / KYC), identification of suspicious transaction patterns, updating of client records for changes in client circumstances, and evaluating on-going suitability of clients
Ability to identify opportunities for extending asset management services and other related services to meet on-going needs of clients and communicate regularly with clients as part of client servicing and obtaining feedback on service quality

Qualification and/ or certification

QFSQF Level 2
QFMA CISI (mandatory)
- International Introduction to Securities and Investment
- QFMA Rules and Regulation
- International Introduction Award
- Investment Operations Certificate

Relevant experience

Industry knowledge

Knowledge of Sharia compliant capital markets products and services

Regulatory compliance of role

Knowledge of relevant QFMA and other relevant laws and regulations governing asset management activities of regulated financial institutions

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