Key Areas of Responsibilities
Syndicate Operations to support CFCM department in their Equity & Debt Capital Markets activities, including both Primary / IPO offerings and Secondary transactions such as block trades and placements. The team provides specialized operational support of ECM & DCM deals where CLSA is part of the Syndicates, and be in contact with sensitive information on a day-to-day basis.
Deal Management:
- Coordinate and manage all logistics of the new issuance process, from structuring to closing, with internal parties (CFCM, Legal and Compliance, Operations) and external parties (Corporates clients/issuer, other Syndicates, Legal counsels, Regulators, Share Registrars).
- Maintain and update deal tracking systems and databases for accurate record-keeping.
- Manage confidentiality and security protocols concerning sensitive transaction information.
- Assist in preparing internal approval requests and presentation materials for syndicate deals.
Control & Reconciliation:
- Communicate on control points/risk items with Senior Management, Deal Team and Control Functions
- Trade & P&L reporting with Operations and Finance.
- Manage regulatory filings and ensure compliance with relevant authorities.
Client Services:
- Be the operational contact point for CFCM clients after account opening, and assist in providing custodian services.
- Facilitate the onboarding process for new clients, including account setup and KYC procedures.
Requirements
- Bachelor's degree or above in Business, Management, Finance, Accounting.
- Minimum 5 years of experience in Operations/Middle Office/Settlement preferred.
- Strong knowledge of Capital Markets.
- Highly motivated and self-driven.
- Strong communication and presentation skills.
- Ability to manage multiple projects at a time.
- Analytically minded and works well with Data Analytics.
- Able to work well independently.
- Technologically savvy.
- Good command of spoken and written English & Chinese (Cantonese & Mandarin)