Responsibilities:
Role 1 : Securities trade
- Perform securities trade order execution, for both retail and institutional customers
- Have a strong understanding of HK and US stock market and regulations
- Provide professional securities services and products to High Net Worth clients, Private Banking Customers and other professional parties, to ensure timely delivery of high quality services to clients
- Handle securities and product inquiries from internal and external parties, and follow up the end-to-end operation process
- Assist in new projects or enhancement projects on securities products and services, develop and implement operation process
- Assist in sales and marketing of securities products and services from other teams when required
- Monitor client's order and margin level, perform margin call and force sell when required
- Responsible for dealing rooms daily operation, administrative works, prepare and review relevant document
Role 2: Risk Management
- Monitor securities margin levels, perform margin calls, and execute forced liquidations to manage risk exposure.
- Track US stock market triggers such as circuit breakers and mid-day trading halts to control financing risks.
- Report system or data anomalies promptly to ensure operational integrity.
- Process trading instructions and fund transfers initiated by customers via hotline.
- Execute trades on the US Over-the-Counter (OTC) market and handle pre-market trading instructions.
- Respond to customer inquiries regarding securities services, fee structures, and promotional offers, etc.
- Address urgent issues such as system failures or trading disruptions to ensure timely resolution.
- Margin risk and trading risk project management and enhancement
- Maintain strong relationships with clients, understand their investment needs, and provide relevant securities services.
- Support high-net-worth clients by providing tailored securities services.
- Collaborate with Private Banking and Wealth Management (PB/PWM) Relationship Managers to deliver high-standard services to high net worth clients.
Role 3 : Compliance
- Monitor the implementation of internal control systems related to securities
- Identify and report any compliance and internal control issues
- Provide training to the team on securities-related internal controls and compliance issues
- Monitor changes in regulatory requirements and internal risk management department demands, conduct gap analysis related to securities, various risk control self-assessments, and other risk activities
Requirements:
- Degree holder or above in Business Management and related discipline
- Effective at multi-tasking and able to meet tight timelines
- Good command of spoken and written English and Chinese, including Putonghua
- Proficient in MS Office applications including Chinese word processing