Position Description

Provide full brokerage administration services to internal and external clients; and ensure the activities in Wealth Management and Retail & High-Net-Worth Business to compile in Company’s policy and regulatory requirements; and execute securities/ futures transactions and other financial products for Hong Kong and other regional markets.

Key Areas of Responsibilities

• Ensure the completeness and consistence for the client’s account on boarding documents with sales/ account executive’s justification, including handling enquiries in relation to but not less than Individual, Corporate and Institutional types of accounts.
• Handle trading transactions (mainly for odd lots order), insurance subscription and fund and stock withdrawal/ deposit request at business level.
• Conduct client’s name screening and system input to fulfil AML/ audit requirements.
• Act as backup to Client Services Officers/ partners by taking up their roles and duties in needs.
• Act as a gate keeper for Company’s policies and regulatory requirements.
• Involve and participate in ad-hoc projects as assigned.
• Provide guidance to junior staffs for an achievement of the Team’s common goal (apply for Manager only)

Requirements

• Degree holder in relevant business/ finance discipline is highly preferred.
• Attained relevant SFC licenses for carrying Type 1, 7 and/ or 8 regulated activities.
• Holder of Type 2 or mid-back office experience in other financial products, e.g. Insurance is a plus.
• Good interpersonal and communication skills.
• Able to work effectively under pressure and be a team player.
• Good command of written and spoken English and Chinese (preferably including Putonghua).
• Experienced candidate may consider to be offered as Manager.