Job ref no.: 0000AWJB

Middle Office Assistant Manager - Broking Services


Some careers grow faster than others.

If you’re looking for further opportunities to develop your career, take the next step in fulfiling your potential right here at HSBC.

Within Retail Banking and Wealth Management, Broking Services provides full investment services in stocks, bonds, currencies, precious metals, commodities and derivatives to retail, corporate customers and financial intermediaries. As a leading full service broker dealer in Hong Kong, our investment services include advisory, execution, risk and portfolio management, custodianship, and margin financing.

We are currently seeking a high caliber professional to join our team as Middle Office Assistant Manager.

In this role, you will

  • Conduct periodic Customer Due Diligence review to fulfill Global Standard requirements by gathering required Know Your Customer documents and information from clients and Account Executives teams
  • Review customer profiles to identify possible patterns of money laundering and terrorist financing activity, ensuring compliance with applicable internal policies and procedures and external regulations
  • Review and analyze account activity for suspicious or unusual patterns of activity utilizing various internal systems, reports and external data sources
  • Provide support during the project phases of testing, simulation, business readiness and implementation with the final responsibility to assist in action
  • Work closely with customer and stakeholders to perform Customer Due Diligence review in an efficient and timely manner, thereby enhancing performance, quality, and accuracy and reducing turnaround time
  • Support management to facilitate project implementation

To be successful in this role, you should meet the following requirements

  • University degree in business related discipline
  • Sound knowledge on brokerage and securities business
  • Excellent understanding of Know Your Customer regulatory requirements and anti money laundering risk implications
  • Solid experience in handling Customer Due Diligence review
  • Strong analytical skill and excellent command of both written and spoken English and Chinese, including Cantonese and Mandarin
  • Adaptability and flexibility to respond quickly to changing priorities
  • Self motivated and pragmatic
  • Ability to work under pressure with high degree of accuracy and tight deadline
  • Good team player with positive attitude

For further details and application information please visit our career site, search under reference number 0000AWJB

You’ll achieve more when you join HSBC.

Candidate with less relevant experience or skills may be offered a lower Global Career Band than stated above.

HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Issued by The Hongkong and Shanghai Banking Corporation Limited

More job information
Job ref no. 0000AWJB (CT3113706-01#0612)
  • N/A
Job Function
  • 2 years - 3 years
Career Level
  • Non-management level
  • Degree