Officer Trainee, Risk & Compliance Team, Security Department

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 room’s 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