Hong Kong, Hong Kong SAR
Dealing/investment experience for HNW clients with a demonstrated history of working in the Financial Services industry. Skilled in Analytical Skills, Microsoft Word, Sales, Accounting, and Market Research. Strong sales professional with a Master of Science (MSc) focused in Applied Economics from City University of Hong Kong.
1.Built PWM Research & Advisory team from scratch, covering private funds, structured notes, and cash bond as HNW product type. 2.Starting from client needs, responsible for the introduction of product categories: a)promoting the selection team to introduce structured products and assisting the company in launching the sale of structured notes in 2023, including mainstream structures such as FCN, ELN, FLN, BEN, BLN, DQ, CCN, and Sharkfin, b)facilitating the establishment of the company's bond trading desk and evaluating the introduction of corporate bonds alongside product selection team 3.Responsible for activating product sales across the entire private wealth segment, with sales volume of PI categories increasing by over 100% year-on-year, and total sales volume for 2024 exceeding the equivalent of 12.6 billion HKD. 4.Established an asset allocation matrix based on cash, fixed income, equity, and alternative assets, contributing to the steady growth of the company's alternative wealth management scale.
1. Developing and implementing investment strategies based on market conditions and investment objectives to ensure maximum portfolio returns. 2. Assess portfolio risks to measure any potential risks and take necessary steps to mitigate them. 3. Build and supervise the investment team to ensure they execute according to the investment strategy and provide necessary guidance and training. 4. Maintain close contact with clients, understand their investment objectives and needs, and provide them with the best investment advice.
Be in responsible for the whole procedure of WMC(跨境理财通) project, including but not limited to: ▪ Draft materials of WMC project; ▪ 100% achievement of WMC account opening task, and ▪ Contract staffs training of WMC project as the team supervisor. • Provide quality and professional services to wealth customers, ensuring superior customer service and contribute to the overall customer experience.
Provide sales support as the farmer role to team head of North China Team in PWM product, i.e. Cash bond, structure linked notes (FCN, ELN, DCN, Funding notes), global equites, mutual/private fund) • Be responsible for the trade order execution, product facts explanation and PWM products advisory based on the hunter-farmer pattern. • Coordinate with product and investment team to provide prudent support upon client’s needs, such as: § Update 3 lines’ ratios for top 30 China real estate, credit situation of target issuers like CHFONT incidents in February, and compare different Chinese AT1/Perps’ trigger condition and loss absorption mechanism in fixed income products; § Calculate annual return of equity linked notes, write investment plan on funding notes based on different participate ratio and target underlying for PMW clients; § Explore primary market’s investment opportunity (equity and cash bond) and arrange related block trade in secondary market. • Handle PWM clients’ various enquiries and account management.
Be in responsible for offshore bond trade analysis, i.e. daily market flow update, yield curve update, bond rating monitor and discovering trade opportunity of primary market for relationship managers (especially target at Chinese Property HY products, LGFV and Chinese Bank AT1); Liaise with counterparties for OTC structure products’ trade arrangement. I.e. Quotation of FCN, ELN (Underlying of HK and US stock) and Credit Linked Notes, Price comparison for best execution, Yield analysis based on different Up-front fee, preparation of documents for relationship managers and Back office like terms sheet, trade blotter etc.. Assist relationship managers to arrange Fx transaction (tenor from spot to 1 week) for high net wealth clients, calculating the relationship managers profit to track the sales team’s performance; Collect and place clients’ fund order (Market Money Fund/Mutual Fund) upon relationship managers’ request. Assist relationship manager to execute stock orders of global market (HK, China-HK stock connect, US, Singapore, Australia and UK) via counterparties for Algo/complex order type (Twap, Vwap Sniper, volume in line) Be in responsible for whole counterparty client onboarding process; i.e. periodically review current counterparty’s status (update BR/CI and Authorized signature list);open account with potential counterparties, arrange approval from risk for trading limit and compliance based on KYC valuation (rating analysis, KYC on worldcheck system and media check) Maintain good relationship with counterparties (FICC,ECM,DCM) for potential primary market investment opportunities and support relationship managers to provide dealing service for key clients like public corporation and financial institutions. Participate in company’s projects including but not limited to “Launch Fx transaction platform with Citi Fx” and “Huatai GDR conversion process with 3rd parties and sales/trading Department plus conversion fee analysis” etc.
• Be in charge of dealing duties. I.e. futures order execution and account risk control based on Esunny system; • Provide entire process of customer service. I.e. futures account open, risk disclosure, daily clients’ inquiry; • Render support for IT, Compliance and Marketing Department. Maintain website system, i.e. be responsibility of making and uploading files of economic calendar, contract information and exchange holiday arrangement etc… Maintain and control operation back system, i.e. fulfill duty of operator authority management, inspect connection and modification record of back platform, keep records of CS, dealing and settlement department according to SFC KEEPING RECORD RULES, supervise deposit and withdrawal process of clients, link up Esunny and upper broker to cope with technical problems like API connection, parameter setting and front system testing etc… Liaison with upper broker i.e. to dispose business of account establishment, corporation practicability analysis and circumstance solving record. Prepare and draft documents & files In accordance with regulatory requirements of SFC i.e. PI Assessment Form, Deposit and Withdrawal Process Guide, Withdrawal Application Form and Standing Authority Application Form etc… Be in charge of compliance and AML training materials, analyses and summary enforcement notices, guidelines of SFC to assist RO to monitor the corporation’s policies and procedures.