Manager, Margin Financing, SBL & Regular Investment Plan

Responsibilities

• Manage daily operations across margin financing and regular investment plan (RIP) products, including order processing, position monitoring, reconciliation, and exception handling

• Oversee recurring RIP subscription orders for HK and US equities, ensuring accurate and timely execution, including FX conversion where applicable

• Liaise with prime brokers, custodians, and counterparties on securities lending, borrowing, and settlement matters

• Monitor corporate actions (dividends, stock splits, rights issues) and apply necessary adjustments to margin and RIP holdings

• Support client onboarding for margin accounts, including credit documentation and limit setup

• Collaborate with technology and product teams on system enhancements and new product launches

• Prepare daily and monthly operational reports and management dashboards

• Contribute to SOP development and ongoing process improvement initiatives

• Ensure all operations comply with SFC regulations, internal risk policies, and relevant market rules

Requirements

• Bachelor's degree or above in Finance, Business, or a related discipline

• Minimum 3 years of experience in securities operations, with exposure to margin financing or investment products preferred

• Solid understanding of Hong Kong and US equity market structures and settlement mechanisms (CCASS, DTC)

• Experience with regular investment or automated investment products is a strong advantage

• SFC licensed (Type 1 or Type 2) candidates are preferred but not mandatory

• Detail-oriented with strong reconciliation and problem-solving skills

• Fluent in written and spoken English and Chinese (Cantonese and/or Mandarin)