Investment/ Securities Services Executive (Dealer)

Responsibilities:

• In our Call Centre and Branch network, actively solicit business opportunities by providing high quality and full range brokerage investment or securities services to customers
• Achieve the assigned performance targets in compliance with the Company’s policies, procedures and regulatory guidelines
• Report to management promptly when any non-compliance activities are observed
• Perform other ad hoc projects or assignments

Requirements:

• Post-secondary education or above
• Solid experience in investment and/or securities dealing experience
• Completed HKSI examinations and qualified to register for RA1; with RA2 would be an advantage
• Sound knowledge on SFO & Code of Conduct for Persons Licensed or Registered with the SFC
• Good financial market knowledge and solid experience in securities brokerage business
• Self-motivated, customer-oriented and sales-driven, with strong customer networking relationship
• Well-versed in both spoken and written English and Chinese, including Putonghua
• Conversant with MS Office applications and Chinese Word Processing