Hong Kong SAR
International Private Bank APAC Equities & Listed Derivatives
Under Wealth Management and Brokerage Department - Execute equities and futures transactions for HK (including Northbound China Stock Connect) and overseas markets (US and Asia including Singapore and Japan) - Provide algorithmic trading and DMA to institutional and high net worth clients - Issue margin call report and supporting documents for trading - Monitor clients orders and prepare JFIU reports for suspicious transactions - Update internal dealing policies and credit rules to fulfill the HK and mainland China regulatory requirements - Conduct product due diligence assessments for product risk and features to ensure their suitability for clients. - Provide inquiries service related to trading to clients and sales team in mainland China and HK - Work with vendors and perform UATs for trading platforms
Under Wealth Management and Brokerage Department - Handled new account opening - Engaged in CDD/KYC process for client onboarding and periodic review - Reviewed account opening documentation such as FATCA/CRS to ensure compliance with local regulatory rules and internal policies - Worked with Compliance Department on AML investigation in new accounts and client transactions