Head of Operations and Dealing

Responsibilities: Supervise the dealing, customer services and settlement department. Execute dealing in securities including HK stocks and US stocks Supervise in the front and back office system set up (Et Trade). Formulate, review and update internal procedures, operation manual and compliance manual to ensure front line business in compliance with the latest regulatory requirement. Conduct margin account ongoing monitoring and follow up margin call status. Support product development and risk

Frontier Financial Group - Hong Kong - Full time

Salary: Negotiable

Responsibilities:

  • Supervise the dealing, customer services and settlement department.
  • Execute dealing in securities including HK stocks and US stocks
  • Supervise in the front and back office system set up (Et Trade).
  • Formulate, review and update internal procedures, operation manual and compliance manual to ensure front line business in compliance with the latest regulatory requirement.
  • Conduct margin account ongoing monitoring and follow up margin call status.
  • Support product development and risk rating.
  • Review and submit FRR.
  • Oversee the daily market, monitor clients securities transactions and identify emerging risk and control issue.

Requirements:

  • Degree holder in Finance or other related disciplines
  • 5-10 years working experience in securities firms or financial organization
  • Current holder of SFC Responsible Officer License for Type 1 and 4
  • Familiar with various investment products, especially Hong Kong stocks, US stocks and derivatives products
  • Excellent leadership and communication skills
  • Well versed spoken Cantonese, Mandarin and English
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23293866

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