Equities Client Service Head – Director
The role responsibility of the candidate mainly covers the management of the Equity Client Service Ops Team in Shanghai. The team is mainly responsible for client service to QFIIs (international clients) and domestic institutional clients, and providing support to our internal traders and salespersons. The team’s main processes include brokerage account opening, sending execution reports, confirmation matching, managing client visits/queries, local regulatory reporting, MIS reporting, and other operations control functions. Experience working in trading outlet or familiarity with trading outlet operations is a plus.
The candidate preferably has knowledge on the day-to-day processes of the QFII structure and China A share market. He/she should have managerial experience in managing a team. His /her responsibilities will include the following:
- Manage the EQ Ops team’s daily activities which includes brokerage account opening, execution reports/confirmations process, updating of opening cash balances in trading systems and disseminating trading reminders to traders and clients.
- Collaborate with EQ business to pitch our brokerage services to potential QFII/domestic clients representing Ops. Attend client visits/meetings together with sales/traders.
- Provide support to internal EQ business units which include sales and traders. Collaborate with HK/London/Stamford client service teams to service our common clients.
- Work with other Ops teams and departments on any Run-the-bank issues and Change-the-bank initiatives related to EQ business and allocate team’s resource appropriately.
- Act as the key escalation point on all EQ clients queries or issues
- Develop and enforce the team’s internal control procedures to minimize the operational risk, especially on regulations imposed on Trading Outlet level by CSRC..
- Understand the local regulations from CSRC/SAFE, manage the regulatory reporting process and assist the Head of Operations to face off regulators/auditors.
- Escalate EQ related operations issues to Head of Operations and address / monitor the resolutions accordingly.
REQUIREMENT:
- Education: Bachelor Degree (Finance/Accounting preferred)
- Level of Experience: 10 years or more of relevant industry experience,
- Experienced people mgmt skill; has at least 8 yrs of people management experience
- Excellent influencing and negotiation skill
- Excellent client servicing skill (both internal and external clients)
- Excellent communication skill (both upward and downward)
- QFII/China A share product knowledge preferred
- Effectively Bilingual - English Mandarin (both written and spoken)
To apply, please send your CV to matthew.lineham@connectedgroup.com