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

Banking / Finance • Full Time • Central And Western District, Hong Kong, HK • 22h ago

RESPONSIBILITIES

Strategy

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

Business

To assist Cash Equities Team Head in achieving revenue target
To provide securities execution and advisory services to business and clients
To provide market update to relationship managers
To advise colleagues on optimal system use
To provide guidance to the team members where necessary
To build a good relationship with external brokers and vendor
Ensure CMPS Cash Equities HK has the best execution platform to enable scalability of the business.
To assist Cash Equities Team for digital transformation

Processes

Ensure CMPS Cash Equities HK has a strong execution platform to enable relevance of CMPS products for Private Banking that it serves across all its markets.
To understand our market competitors and improve our competitiveness.
To monitor and analyse business KPIs and take necessary actions as to attain business goals.
To work closely with relationship managers for continual enrichment of cash equities knowledge
To maintain and grow PvB DAC business by providing execution solution as well as timely advice.
To work closely with various business partners to achieve best returns.
To work closely with Risk and Control Team to ensure proper functioning of day-today controls, periodic monitoring activities and timely resolution of risk issues.
To strictly follow the internal and external regulatory requirements and ensure that best execution practices are in line with these necessary standards.
To carry the digital transformation of the Cash Equity business

People & Talent

Ensure all in house training to complete entirely and timely
Ensure professional skills and/or knowledge in trading and stock market keeping up to date.
Ensure able to present Cash Equities and Equity Structure Product idea thru presentation.
Be a role model to lead the team

Risk Management

Identify, monitor, manage and control business, operations, governance, and compliance risk with regards to CMPS Cash Equities HK business
Ensure conformity with the relevant internal and external rules and regulations.
Ensure that sales, advisory and execution are fully compliant with internal and external policies and regulations

Governance

Ensure all Cash Equities products have the necessary CAs, Product Approval and DOI
Ensure all Cash Equities team member adhere to FM Code of Conduct, and have the 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, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Lead the CMPS Cash Equities HK] to achieve the outcomes set out in the Bank’s Conduct Principles
HK local regulators: Hong Kong Monetary Authority (HKMA) and Securities and Futures Commission

Key Stakeholders

Constantly engage with Client Segment Heads to understand their product needs, support them on product ideas, design and provide best execution for WMPS Cash Equities activities.
Engage with Client Segment Heads on a periodic basis to address any issues they may have in relation to WMPS Cash Equities activities.
Provide advice and grow Cash EQ DAC business as well as Structure Product DAC business

Other Responsibilities

Embed Here for good and Group’s brand and values in Capital Markets Products and Solutions, WS; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats)

Qualification

Education University Graduate BA Degree or Higher
Training Trained through many years 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

What we offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

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), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
Flexible working options based around home and office locations, with flexible working patterns.
Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

www.sc.com/careers

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