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 Companys 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 clients account on boarding documents with sales/ account executives 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 clients 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 Companys policies and regulatory requirements.
- Involve and participate in ad-hoc projects as assigned.
- Provide guidance to junior staffs for an achievement of the Teams 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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