Assistant Vice President, Investment Consultant

Intermediate (3-6 years)


Technical Skills

  • Audit
  • Process Improvement

Job Description

Assistant Vice President, Investment Consultant

Location: Hong Kong

DBS. Living, Breathing Asia.

DBS is a leading financial services group in Asia, with over 280 branches across 18 markets. Headquartered and listed in Singapore, DBS has a growing presence in the three key Asian axes of growth: Greater China, Southeast Asia and South Asia. The bank's capital position, as well as "AA-" and "Aa1" credit ratings, is among the highest in Asia-Pacific. DBS has been recognised for its leadership in the region, having been named “Asia’s Best Bank” by The Banker, a member of the Financial Times group, and “Best Bank in Asia-Pacific” by Global Finance. The bank has also been named “Safest Bank in Asia” by Global Finance for eight consecutive years from 2009 to 2016.


(A) Investment Sales Management & Support

1.    Lead and drive sales performance of frontline sales to achieve overall sales and service targets assigned.

2.    Develop sales strategies and business plans for cluster branch(es) with DH and Branch Managers to optimise sales capacity and effectiveness.

3.    Conduct regular coaching, training, and market/product briefing to sales staff to enhance their functional competencies & professionalism in the course of interacting with customers.

4.    Develop or source sales materials / scripts for sales staff to ensure a consistency in the information flow and enhance their sales efficiency.

5.    Provide professional support and advice to both sales staff and customers through joint sales calls and regular portfolio review for customers with sales staff.

6.    Perform regulated activities, Type 1 & 4 specified under the Securities & Futures Ordinance.

(B) Customer Experience Management & Product/Process Enhancement

1.   Support branch(es) to provide superior service to investment customers in accordance with the Bank’s required service standards.

2.    Resolve complex enquiries and complaints.

3.    Provide regular and timely feedback to product taskforce team on customer acceptability on new investment products, services and sales issues.

4.    Participate in product development and process improvement projects & activities as assigned.

(C) Audit and Compliance Control

1)   Ensure full compliance with both external regulatory codes & guidelines, ordinance & internal compliance policies, standards, guidelines & procedures related to the course of investment selling and advisory.

2)   Improve control and compliance quality on investment selling and operation through leadership, education, on-going monitoring & effective remedial actions.

3)   Assist branch(es) to investigate and handle investment complaints according to the Bank’s complaint handling & escalation procedures in a timely manner.

4)   Strictly adhere the laid down governance framework of the bank.

      Comply with the registered capacity as well as any conditions imposed by the HKMA and           other regulatory bodies.  This includes compliance with the applicable requirements of the         Code of Conduct for Persons Licensed by or Registered with the SFC


1)     Minimum 5 years’ working experience with financial institutions, preferably with fund houses or previous capacity working as CRM, with strong knowledge of investment products. With solid experience in managing & coaching sales staff to achieve team performance

2)     University graduate, Business / Marketing

3)     Must be registered RI [Regulated Activities: Type 1 & 4] with passes in HKSI Licensing Examination Papers 1, 7 & 8; equivalent

4)     CFP and CFA designation would be an advantage

Apply Now

We offer a competitive salary and benefits package and the professional advantages of a dynamic environment that supports your development and recognises your achievements.

We regret only shortlisted candidates will be notified.

Employment TypeFull-time
Career LevelIntermediate (3-6 years)
Education LevelNon-specified