Senior Associate, Sales Administration (Wealth Management)

 Ref: SAAVP/WM/030924CT/71 

Responsibilities:

• Monitor daily sales / trades in compliance with internal procedures & guidelines and regulatory requirements
• Assist all daily administration and operation matters in the sales platform particular in Securities, Insurance and OTC Products
• Coordinate with Operations and Credit Departments on handling daily settlement and account opening to ensure smooth operations
• Perform regular compliance checking of clients, documents and trading activities
• Handle inquiries from Investment Consultants and external customers
• Provide professional service or admin assistance to clients / potential clients and execute orders for clients, if necessary

Requirements:

• University graduates in Business Administration or related discipline preferred
• 3 years or above relevant experience in financial services industry
• Holder of IA license and SFC licenses for Type 1 regulated activities are preferred
• Good communication skills with strong sense of responsibility, well-organized and able to work independently
• Proficiency in MS Office and Chinese Word Processing
• Good command of both written and spoken English and Chinese, fluency in Putonghua is preferred
• Candidate with more experience will be considered as ‘Assistant Vice President’ and less experience will be considered as ‘Associate’