Senior Officer, Securities Services

Position: Senior Officer, Securities Services

Reporting to the Team Head of Centralized Trading Team, you will be responsible for handling incoming calls of centralized branch trading line, with duties including enquiries, share quote and market information, receiving and placing orders for customers, confirming after execution or market close, making outbound calls for account activation.

Main Responsibilities:

• Make outbound calls to new securities customers or existing customers to introduce securities services and promotional campaigns with the objective of account activation

• Provide customers with market information, including stock prices and charts, but not investment advice

• Receive, execute and confirm customer stock buy/sell orders

• Provide service for any other securities related products/services, e.g. SISP, IPOs and margin financing

• Explain the Bank’s securities product/service features, corporation action process, tariff and promotion offers to customers

• Answer customer enquiries and queries on issues in connection with securities services

• Handle and follow up customer complaints, report to supervisor for resolution if necessary

• Support Severe Weather Trading (SWT) via Work-From-Home (WFH)

• Ensure compliance with internal policies/guidelines and regulatory requirements at all times

  Requirements:

• DSE graduate or above with relevant qualification for RI license registration under HKMA

• Minimum 3-4 years’ relevant working experience, preferably in banking industry

• Good command of written and spoken English and Chinese. Proficiency in Putonghua preferred

• Candidate with less experience will be considered as Officer, Securities Services

This position is an in-scope position under the Mandatory Reference Checking Scheme. Please refer to the FAQs for In-Scope Individuals issued by the Hong Kong Association of Banks for details.

https://www.hkab.org.hk/tc/page/5/mandatory-reference-checking-scheme-phase-2