Head of Dealing – Investment Management

Asset Management
Hong Kong
Posted 3 months ago

Our comprehensive suite of structured products caters to investors with various objectives, including equities, FX rates, interest rates, and investment funds. Additionally, we provide fixed income instruments and certificates of deposit, ensuring regular coupon payments for our customers. Our securities services cover both local and overseas exchange-traded equities, accessible through a wide array of trading channels. Moreover, our margin trading services and investment financing options provide additional liquidity and purchasing power for sophisticated investors.

As the Head of Securities Dealings, you will lead a high-performing team, contributing to the success of our securities trading operations. Your key responsibilities will include:

  • Managing all non-straight through securities trading transactions, such as error trades, monthly installment plans, and QFII processes.
  • Acting as the primary point of contact during system failures, ensuring seamless customer trading experiences and incident management.
  • Planning, designing, and conducting User Acceptance Tests (UATs) to optimize our securities trade system and enhance our competitive edge.
  • Monitoring daily securities trading operations meticulously to mitigate operational risks and maintain a minimal level of customer complaints.
  • Ensuring strict compliance with internal and external regulations, particularly in market abuse detection, to avoid regulatory penalties.

To excel in this role, you should possess the following qualifications:

  • A minimum of 10 years of securities services experience, including leadership roles in securities dealings within banking institutions.
  • Existing Securities Responsible Officer status is highly desirable.
  • Extensive knowledge of local stock market operations.
  • Excellent communication, interpersonal, and analytical skills.
  • Strong self-motivation and the ability to thrive independently in a fast-paced environment.
  • Proficiency in both English and Chinese.

Join our team and be part of an organization that values your expertise, offers growth opportunities, and fosters a collaborative work environment. Together, we will drive innovation and deliver exceptional services that exceed our clients’ expectations.

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