Assistant Manager, Securities Services

Job Purpose:  
Responsible for handling incoming calls of US stock trading hotline for Private Banking customers during US market hours, with duties including enquiries, share quote and market information for US stock market, receiving and placing US stock orders for customers, confirming after execution or market close.

• Main Responsibilities:  
• • To handle customer inquiries via phone during US market hours, addressing topics such as US stock order execution, account management, and market updates;
• • To provide customers with market information, including stock prices and charts for US stock market, but not investment advice;
• • To receive, execute and confirm customer US stock buy/sell orders;
• • To explain the Bank’s securities product/service features, corporation action process, tariff and promotion offers to customers;
• • To answer customer enquiries and queries on issues in connection with securities services;
• • To handle and follow up customer complaints, report to supervisor for resolution if necessary;
• • To support via Work From Home (WFH) under contingency or sever weather;
• • Ensure compliance with internal policies/guidelines and regulatory requirements such as FINRA standards and SFC regulations at all times.

Requirements:
•    Degree holder with relevant qualification for RI licensing under HKMA;
•    Ability to work night/overnight shifts;
•    Minimum 5 years’ relevant working experiences, preferably with exposure to US equities or global markets;
•    Solid knowledge of US stock markets and trading platforms (e.g., Interactive Brokers, Bloomberg or equivalent);
•    Good command of English and Cantonese. Proficiency in Putonghua preferred;
•    Strong sales and customer orientation, with good interpersonal and communication skills;
•    Candidate with less working experience will be considered for Senior Officer position.