Director, Advisory and Dealing, Equities, CMPS, WS HK

2 days ago

Hong Kong, Central and Western District, Hong Kong SAR China Standard Chartered Full time
Director, Advisory and Dealing, Equities, CMPS, WS HK

Location: Central, HK

Area of interest: Private Banking & Wealth Management

Responsibilities
  • Awareness and understanding of the Group's business strategy and model appropriate to the role
  • Strategize and execute long term strategic plans and tactical plans to capture business opportunities within the footprint of SCB in HK
  • Assist Cash Equities Team Head in achieving revenue target
  • Provide securities execution and advisory services to business and clients
  • Provide market update to relationship managers
  • Advise colleagues on optimal system use
  • Provide guidance to the team members where necessary
  • Build a good relationship with external brokers and vendors
  • Ensure CMPS Cash Equities HK has the best execution platform to enable scalability of the business
  • Ensure strong execution platform to enable relevance of CMPS products for Private Banking
  • Understand market competitors and improve competitiveness
  • Monitor and analyze business KPIs and take necessary actions to attain business goals
  • Work closely with relationship managers for continual enrichment of cash equities knowledge
  • Maintain and grow PvB DAC business by providing execution solutions as well as timely advice
  • Work closely with various business partners to achieve best returns
  • Collaborate with Risk and Control Team to ensure proper functioning of day-to-day controls and timely resolution of risk issues
  • Follow internal and external regulatory requirements and ensure best execution practices
  • Carry the digital transformation of the Cash Equity business
People & Talent
  • Ensure all in-house training is completed entirely and timely
  • Maintain professional skills and knowledge in trading and stock market
  • Present Cash Equities and Equity Structure Product ideas through presentations
  • Be a role model to lead the team
  • Identify, monitor, manage and control business, operations, governance and compliance risk
  • Ensure conformity with relevant internal and external rules and regulations
  • Ensure that sales, advisory and execution are compliant with internal and external policies
Governance
  • Ensure all Cash Equities products have the necessary CAs, Product Approval and DOI
  • Ensure all Cash Equities team members adhere to FM Code of Conduct and have necessary certifications and training
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
  • Identify, escalate, mitigate and resolve risk, conduct and compliance matters
  • Lead the CMPS Cash Equities HK to achieve outcomes set out in the Bank's Conduct Principles
  • Engage with local regulators: HKMA and Securities and Futures Commission
Key Stakeholders
  • Engage with Client Segment Heads to understand product needs and support them on product ideas
  • Address any issues Client Segment Heads may have in relation to WMPS Cash Equities activities
  • Provide advice and grow Cash EQ DAC business
Other Responsibilities
  • Embed Here for good and Group's brand and values in Capital Markets Products and Solutions
  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures
Qualifications
  • Education: University Graduate BA Degree or higher
  • Training: Trained through many years of industry experience
  • Licenses: Licensing qualifications under HKMA: type 1 and type 4
  • Membership: Certified Private Wealth Professional (CPWP)
  • Languages: English, Cantonese and Mandarin
Role Specific Technical Competencies
  • Manage Conduct
  • Manage Risk
About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you.

What we offer
  • Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
  • Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days).
  • Flexible working options based around home and office locations.
  • Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform.
  • A continuous learning culture to support your growth, with opportunities to reskill and upskill.
  • Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity.
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