Associate/ Senior Associate, Brokerage

  • Competitive Salary
  • Hong Kong
  • Permanent, Full time
  • Captiare Limited
  • 21 Jan 19

Our client is a well-established Chinese Investment Bank that provides a wide range of financial services including securities brokerage, corporate finance and asset management to domestic and international clients. It is one of the largest investment banks and securities brokers in Hong Kong with China origin in terms of company size and market coverage. They are now looking for high caliber professionals to join their Securities and Futures department, to provide technical expertise and administrative support for Account Executive (AE) to facilitate the process of market placement, client service, and account processing.

Key Responsibilities

  • Handle enquiries & requests from Account Executive (AE) and clients including corporate and individual high-net-worth clients
  • Execute client’s trading orders of Futures & Securities accurately including placement and public offering
  • Assist to monitor credit status of clients, compile reports and take corrective actions if necessary
  • Ensure effective execution of daily work and implementation of procedures, risk management and cost control such as handling account opening procedures, processing daily stock & fund transfer, etc.
  • Prepare various clients documents e.g. statements, reports, etc.
  • Perform receptionist duties and provide administrative support to the department
  • Arrange AE to enroll CPT courses, orientation and on-the-job training
  • Identify operational issues and work out improvement plans within teammates and inter-departments


  • Bachelor degree in Business Administration or related discipline, with passes in Securities Intermediaries Examinations (qualified under SFO for handling Regulated Activities Types 1&2)
  • 2-3 years relevant experience in finance or banking industry, with hands-on experience in Securities firms or Banks preferred
  • Knowledge in financial products (e.g. structured products, ELN, Bonds, Stocks, Futures), trading system (e.g. I-Asia Front System), settlement systems (e.g. CCASS) and settlement methods (e.g. DVP, FOP) an advantage
  • Good PC skills , in particular Microsoft Office  Excel
  • Good interpersonal & presentation skills, flexible and detail-minded
  • Able to work independently and proactively with high self-motivation
  • Proficient in Cantonese, Mandarin & English both written and verbal