The incumbent will be responsible for the effective and efficient daily operations of the Wealth Management Centre by ensuring the timely and accurate execution of all transactions and client requests as well as actively pursuing any follow through required for completion of same within established deadlines.  He/she will also be responsible for ensuring all activities are performed within the strict ambit of the guidelines and regulations stipulated by the Stock Exchange, the Trinidad and Tobago Central Depository and the Securities and Exchange Commission.



  • Performs the role of an authorized Signatory for clients’ transactions and for encashments as specified in the FCIS Delegation of Authority Policy
  • Initiates process improvement to improve operational efficiency, and contributes to business development strategies that ensure the profitability of the Centre.
  • Performs the role of Centre Lock-Up Officer, secures clients’ sensitive documents and negotiable items under dual custody
  • Operates a petty cash system by ensuring that all requests for cash are properly authorized and cash levels are maintained and secured as well as processes the relevant vouchers for replenishment of cash
  • Monitors Client Transactions for any Suspicious/Unusual Activities and reports same to the relevant department/s, as set out in the AML Policy
  • Reviews and ensures Available Securities Report to assess sufficient availability of security in relevant portfolios for substitutions arising out of sales and amortizations
  • Provides oversight for the physical structure of the building, janitorial services and other amenities for the Centre and ensures the settlement of related bills as well as liaises with external service providers to ensure delivery in a timely manner
  • Supervises staff while ensuring their on the job training, assignment/vacation scheduling, periodic performance appraisal including coaching, mentoring, monitoring and initiating corrective action where necessary, to aid in the development of staff, as well as conducts periodic team meetings.
  • Responsible for the onboarding process of new clients in accordance with the Company’s AML, KYC and Account Opening Guidelines and Regulator requirements. In addition, ensuring clients’ data/files are maintained in compliance with same mentioned guidelines and requirements.
  • Responds to customers’ requests /enquiries concerning investment products offered by FCIS/FCBAS such as Bonds –types, relationship and calculations of prices and yields; Equities- relationship to industry, economic environment, profitability ratios and calculations of commission as required, whilst keeping abreast of competitors’ offerings
  • Responds and guides clients concerning the different facets of the clients’ international portfolio including, but not limited to margin accounts, option trading, etc
  • Actively engages in educating clients concerning investment opportunities by discussing differing portfolio strategies based on clients’ risk appetites
  • Educate prospective clients of capital market terms; local and international market prices (fixed income and equity instruments); industry advances and any relevant corporate actions (dividend payments, stock options/splits, etc.)
  • Solicits, records and forwards recommendations from clients’ feedback on services and products
  • Monitors and ensures service standards are maintained – wait time and other communications to clients
  • Ensures that all relevant client documents are filed and scanned for safe and easy retrieval
  • Engages actively in marketing and cross-selling of the Group’s products and services by explaining the features and benefits as well as making comparisons with competitors’ products and services to increase market share and achieve assigned targets
  • 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



  • First Degree in Management Studies, Finance, Economics or other related discipline (accordance with 2015 guideline requirements of SEC)
  • Three (3) years in a similar position with at least one (1) of these being in a supervisory function
  • Candidate must be registered as "an advising representative" with the Securities and Exchange Commission and as such, the incumbent must possess certain qualifications as mandated by the Securities (General) By-Laws, 2015
  • Strong supervisory, team building and conflict resolution skills 
  • Strong oral and written communication skills
  • Strong interpersonal, cross selling and time management skills
  • Strong analytical, conceptual, research, negotiating and problem solving skills
  • Ability to use initiative, work independently and exercise sound judgment
  • Ability to read, analyze, interpret, and use complex documents and forms
  • Professional deportment
  • Proficiency in Microsoft Office Suite
  • Knowledge of the Group’s Operating Software Systems, Products and Services


Posting online: 19-Mar-2020 | Deadline: Not Updated | Unposting: 9-Apr-2020

First Citizens
Employment Type
Salary and benefits
Grade 7
Your Career Level
Early Career
Years Experience
Three (3) years'
Your Education Level
First Degree|in Management Studies|or equivalent
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