Middle Office Assistant Manager - Broking Services

Job description

Some careers open more doors than others.
If you're looking for a career that will unlock new opportunities, join HSBC and experience the possibilities.

Within Retail Banking and Wealth Management, Broking Services provides full investment services in stocks, bonds, currencies, precious metals, commodities and derivatives to retail, corporate customers and financial intermediaries. As a leading full service broker dealer in Hong Kong, our investment services include advisory, execution, risk and portfolio management, custodianship, and margin financing.

We are currently seeking a high caliber professional to join our team as Middle Office Assistant Manager .

Principal responsibilities
· Review customer profiles to identify possible patterns of money laundering and terrorist financing activity, ensuring compliance with applicable internal policies and procedures and external regulations
· Review and analyze account activity for suspicious or unusual patterns of activity utilizing various internal systems, reports and external data sources
· Contact clients to complete follow up to plug the gaps in know your customer requirements
· Conclude whether further investigation is warranted based on a reasonable assessment of information obtained
· Review, collect and transmit supporting details to the Middle Office Manager upon conclusion of review, make sure all the information input and documents uploaded are updated and accurate and also comply with anti money laundering customer due diligence policy and procedures before proceeding to Middle Office Manager for further checking
· Adhere strictly to compliance and operational risk controls in accordance with Company and regulatory standards, policies and practices, report control weaknesses, compliance breaches and operational loss events
· Follow appropriate escalation matrix and proactively highlight questionable profiles based on logical reasoning against text book approach towards procedures
· Keep current with understanding of systems, policies, procedures and regulations
· Work on short term projects and assignments with primary focus on quality.

Desired profile

Requirements
·  Excellent understanding of financial regulatory environment and anti money laundering risk implications
·  Sound knowledge of Securities and derivatives products and brokerage services
·  Relevant experience in client onboarding, account documentation, Customer background
·  Computer literate and ability to work on basic applications like Microsoft Excel, Word and Outlook
·  Excellent Communication skills in English and Chinese in written and verbal
·  Ability to learn quickly and adapt to evolving and changing priorities.
·  Is self motivated and pragmatic
·  Ability to work well under pressure with high degree of accuracy and tight deadline
·  Good Team player
You'll achieve more when you join HSBC.

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