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.

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