First Citizens Investment Services Limited – Senior Investment Associate

First Citizens Investment Services Limited – Senior Investment Associate

First Citizens


Applications are hereby invited for the position of Senior Investment Associate, First Citizens Investment Services Limited, St. Lucia.
The incumbent will be responsible for seeking and developing new corporate business in the Caribbean region and beyond. He/She will also be responsible for creating and maintaining enduring relationships with prospective and existing corporate clients of Funds Under Management including the spread, fee income, equity, bond and T-Bill clients with a view to increasing market share and achieving assigned targets.
Key Duties and Responsibilities
  • Provides financial options/solutions to existing/potential Regional Corporate and Retail Clients throughout the OECS to attract and retain business based on knowledge of the Group’s products/services and awareness of competitors’ offerings
  • Consults with potential and existing clients (internal and external) and provide information on local, regional and international securities
  • Assesses the differences in regulations and practices in different countries of the Eastern Caribbean in order to target and sell to clients in each country within the rules and regulations
  • Develop client target lists and maintain up to date client pipelines
  • Keeps up-to-date with industry products in order to provide competitor analysis client.
  • Walk clients through new account opening (investment and brokerage) documentation and requirements and processes transactions in accordance with ECSRC guidelines, ECSE rules and regulations, as well as the company’s approved standards, policies and procedures, while maintaining strict standards of confidence
  • Maintains up-to-date personal records of all clients in addition to transaction records/files
  • Provides after-sales quality service to all clients by confirming completion of transactions guiding them on future investment transactions
  • Prepare and make presentations to prospective clients and groups that contain prospective clients.
  • Conduct market reads at the direction of the BD Manager to ascertain market demand for unissued instruments
  • Build and maintain deal book to ensure success on primary market Treasury Bill and Bond issues and coordinate with team members to ensure client orders are filled and processed efficiently
  • Ensure compliance with all Know Your client (KYC) and Anti-Money Laundering (AML) Regulations
  • Informs clients on new sovereign/corporate bond and equity issues and facilitates sale and purchase of same including reviewing purchase and sale orders
  • Solicits and analyzes feedback from clients to address service gaps and ensure that level of client service is maintained
  • Troubleshoots the operating system (T24) when minor problems arise
  • Assists with the review/revision of the Branch’s processes to enhance operational efficiency
  • Monitors Client Transactions for any Suspicious/Unusual Activities and report same to Operations Risk and Compliance Department as set out in the AML Policy
  • Prepares and presents financial reports for the televised and radio financial programmes or other initiatives / engagements as required and forms part of the team of Presenters of any televised and radio financial programmes
  • Responds to customers’ requests, enquiries, incoming and outgoing calls, both local and foreign, in a courteous and timely manner consistent with operating standards and escalation to Manager where necessary
  • Completes special projects and other related activities as assigned by the Manager.
Qualifications and Experience
  • Working towards attaining the Chartered Financial Analyst (CFA), Certified Financial Planner (CFP) or similar designation would be an asset
  • Bachelor’s Degree in Accounting, Management Studies, Economics, Finance or related discipline from an accredited institution
  • A minimum of five (5) years working within the financial services sector preferably in areas such as Customer Service/ Lending/ Investments/ Brokerage/ Accounting/ Finance/ Audit
  • Proficiency in Microsoft Office Suite
  • Professional deportment
  • Ability to read, analyze, interpret, and use complex financial documents and forms
  • Ability to use initiative, work independently and exercise sound judgment
  • Strong analytical, conceptual, research, negotiating and problem solving skills
  • Strong time management skills
  • Strong presentation, interviewing, selling and cross-selling skills
  • Strong team-work, inter-personal and conflict resolution skills
  • Strong oral and written communication skills
  • Knowledge of the Group’s Operating Software Systems, Products and Services.
Special Requirements
  • Officer must possess a valid driver’s license as this is a travelling post
  • A valid passport as travel within the Eastern Caribbean will be required
  • Registered Representative licensed on the Eastern Caribbean Securities Exchange (period of three months given to attain the license)
Applications should be submitted online via Caribbean Jobs.
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