Stephanie Tan

• Supervision and management of 6 direct reports and 19 indirect reports. Direct Reports included Lead ARMs (Sydney and Melbourne) and Market ARMs.
• Established culture of accountability by setting clear expectations and holding individuals responsible for results.
• Accountable for operational discipline to achieve no overdue in Compliance obligations - oversaw task allocation and execution.
• Collaborated with COO and Local Business Management (LBM) Teams – project-managed and implemented many Compliance-related obligations
• Provided feedback to Development groups and suggestions to Local Business Management (LBM) Team on training programs designed for Front Office.
• Management responsibilities - hire of new ARMs, on-boarding, training, coaching and mentoring to maximize productivity, compliance and operational discipline, organization of Employee Appreciation Events and Annual Team Offsite, annual leave management, year-end performance review and evaluation and compensation communication.
• Built diverse team through targeted recruiting efforts focused on diversity, equity and inclusion.
• Managed crises situations effectively by accurate resource allocation while minimizing disruption to daily operations and ensured continued support coverage to Client Advisors.
• People Leadership responsibilities - Talent Development and Talent Retention
• Nominated and supported ARMs for promotion and/or into relevant programs depending on stage of career (LEAP, GTTRM, One Young World Summit)
• Demonstrated Personal Proficiency and learning agility by keeping on top of internal processes, procedures, and knowledge relevant to ARM's role responsibilities
• Subject Matter Expert and “Go-to” Front Office representative for processes and applications
• Member of selection panel of Annual Summer Internship Hiring and managed Interns during Summer Internship
• Conducted Induction Training for new joiners to Wealth Management.
• Member of WM's Business Risk and Control Committee – monthly meeting of Business' Risk functions and Senior Management.
• Member of WM Executive Committee - monthly meeting of Senior Management Team where strategic objectives such as business direction, HR matters, organization set up, financial frameworks are discussed

• Provided exceptional and broad-based ARM coverage to Senior RMs
• Partnered strongly with RM/s and ensured effective back-up support structure with RM
• Oversaw New Client Onboarding - Preparation and Submission of Client Onboarding Documents in full compliance with AML and KYC checks and requirements; working with the Client Onboarding Team; close follow up with internal and external parties; updating RMs and clients of progress
• Portfolio Advice implementation - Placement and settlement of security orders (Australia and International) across asset classes (direct securities, managed funds, Bonds, Hedge funds, Private Equity and FX); settlement of securities trades by ensuring funding, effecting FX trades or loan draw down; refinancing of margin and mortgage loans, loan settlements, renewal of term deposits (multi-currencies) and preparation of loan documentation (margin and mortgage)
• Managed daily client servicing / administration and account maintenances - managed day-to-day administration of client accounts – Corporate Actions, security transfers, preparing materials for meetings, addressed queries from RMs, clients and Accountants, delivered Compliance obligations within deadlines
• Client communication – delivering house views, research notes and investment ideas within Bank's recommended lists (securities, structured notes, and managed funds) and matched suitability of product ideas to client's investment profile / needs
• Developed strong working relationships with Internal teams and departments (back operations, Execution Desks, Legal and Compliance) fostering strong collaboration across teams to obtain client resolution, address client queries in a prompt and accurate manner
• Diligent use of banks' tools and systems to reflect up to date client and KYC/AML information
• Maintained strict compliance to Code of Conduct, risk and control functions whilst maintaining high standards of daily operations and work output.

Achievement:

• Best Assistant Relationship Manager of the Year - 2013

• Managed portfolio of High Value Customers relationships through growth of consumer deposits and investment product sales
• Achieved broad-based range of Wealth Management sales targets (New-To-Bank funds and cross/up-selling into higher revenue or fee-related investments
• Deepened client relationships and offered tailored financial solutions by matching clients' needs to investment services and banking services and ensured high levels of client satisfaction.

Achievement:

• Citibank Chairman Council 2004

• Generated approximately 30 outbound direct tele-sales calls and managed inbound calls
• Provided feedback on telemarketing campaigns
• Facilitated committed investments, through investor education and active promotion of product benefits
• Provided information on wide range of products offered for investment, superannuation, and retirement needs, while keeping up to date with industry legislations.

• Promoted and cross-sold fee-based revenue products (Investments e.g., Managed Funds and Insurance products e.g., Endowment, Market-Linked, Mortgage Protection) using needs-based selling approach
• Piloted direct marketing initiatives and targeted outbound telemarketing initiatives within Bank's client segments (existing clients with residential mortgage and/or maturing Term Deposits)
• Coached front-line tellers in Branch network to generate constant stream of client referrals
• Organized, conducted, and implemented training programs for new joiners.

Achievement:

• Customer Service Award - 2000