Specialist, Securities Trading,Client Centre

Job Summary

Strategy

• The position mainly supports the handling of client contacts received through inbound and outbound calls including securities product, other investment products and insurance (if appropriate). It also supports call handling to general banking product.

Business

• Ensure professional, efficient and quality service to clients
• Execute client’s orders and instructions on securities product and insurance product (if appropriate)
• Handle enquiry to general banking product
• Ensure efficient problem and complaint resolution
• Capture client’s feedback for internal improvement
• Conduct outbound calls for ad hoc assignment
• Meet the required service level and productivity standard

Processes

• Comply with internal guideline and external ordinance 

People & Talent

• Acquire product knowledge and service skill by inhouse training and on the job training 
• Ensure all critical functions are suitably skilled and qualified for the roles 
   

Key Responsibilities

Risk Management

• Comply with control requirements to respective job responsibilities
• To comply with all applicable money laundering prevention procedures and, in particular, report any suspicious activity to our investigation team of bank
• Comply with all relevant policies and procedures covering regulatory, local and group requirements

Governance

• Awareness and understanding of the regulatory framework, in which the group operates, and the regulatory requirements and expectations relevant to the role

Regulatory & Business Conduct

• Display exemplary conduct and live by the Group’s Values and Code of Conduct. 
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Lead the Hong Kong / Client Centre / Customer Service / Securities Trading to achieve the outcomes set out in the Bank’s Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance

Key stakeholders

• Product Team
• Custody & Operation Team
• Client Contact Centre
• Client Experience (CEPG)
• Branches
   

Skills and Experience

• TRAINING     Refer to respective training curriculum
• LICENSES     RI registration (HKSI paper 1,7,8 required) 
• TR licensing registration (IIQE 1,2,3), if applicable
• LANGUAGES     CANTONESE, ENGLISH, MANDARIN

Qualifications

• General knowledge of securities trading market    
• General knowledge of insurance product (if applicable)    
• General knowledge of general banking product    
• Customer service skill    
• Proficiency in computer usage    
• Working attitude and drive    
• Interpersonal and communication skills