Trade Control Officer

Responsibilities:

• Monitor Capital Investment Entrant Scheme (CIES) client trades
• Approve over-the-counter (OTC) product trades via e-workflow/ email, conducting Client Due Diligence and Product Due Diligence
• Review risk profiling questionnaires and update records as required
• Verify OTC trades (e.g. Unit Trusts, Bonds, Structured Notes, Accumulator/Decumulator, etc.) in the system and follow up on post-trade documents by the deadline
• Remind clients’ professional investor (PI) status renewal
• Assist with ad-hoc tasks as assigned by the supervisor

Requirements:

• Bachelor’s degree, preferably in Finance, Business Administration, or a related field
• At least 2 years of work experience in the financial industry
• Knowledge of OTC products is preferrable
• Good command of both spoken and written English and Chinese including Mandarin
• Strong PC skills in Microsoft Word, Excel and Chinese word processing
• Detail oriented with responsible and careful mindset