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Job Family
證券交易服務/Retail Securities Dealing
Job Description
Responsibilities
- To execute futures and options, forex, securities and related orders for all clients
- To provide fundamental and technical analyses to clients
- To provide trade support services to customers including market information and performance, monitor and advice on client margin calls and facilities, trading limits, solving of out-trades.
- To ensure work and duties are carried out professionally, and comply with all rules and regulations of local /overseas regulators and exchanges
- To assist back-office departments in trade-related work, ensure institutional customers’ trade confirmations are promptly emailed to the customers. Copies of such confirmations are to be given to the Operations team (settlement)
- To solicit and provide feedback on any customers’ unusual trading patterns (e.g sudden over-speculative behaviors), patterns of movement of funds, to HODs and Compliance department.
- To monitor activities (asides from trading within limits and margin sufficiency) that could be related to money laundering and terrorism financing. Must have a good understanding of the factors which contribute to arouse suspicion in such activities.
- To check and monitor customer’s equity and position limits to ensure no over-trading
- To escalate immediately on occurrence of error, to ensure a detailed account of error report is made promptly
Education – Degree / Field of Study
Work Shift
