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

1. 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.
2. Handle trading transactions (mainly for odd lots order), insurance subscription and fund and stock withdrawal/ deposit request at business level.
3. Conduct client’s name screening and system input to fulfil AML/ audit requirements.
4. Act as backup to Client Services Officers/ partners by taking up their roles and duties in needs.
5. Act as a gate keeper for Company’s policies and regulatory requirements.
6. Involve and participate in ad-hoc projects as assigned.
7. Provide guidance to junior staffs for an achievement of the Team’s common goal (apply for Manager only)

Requirements

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