Prime Brokerage Middle Office AVP
Paraphrased Job Responsibilities
- Support the business by coordinating closely with back-office teams on trade execution, settlement, and clearing across a broad range of listed products in Hong Kong and global markets, including equities, ETFs, futures, and options. Experience with equity derivatives or swaps is advantageous.
- Deliver operational support for the business, including monitoring funding needs, currency shortfalls, and cash collateral with SBL counterparties.
- Handle all client trading account matters-from onboarding through funding and margin requirements to the processing of cash and securities deposits/withdrawals.
- Conduct audit, compliance, and AML reviews, as well as periodic account risk and limit assessments.
- Provide trade and client support by ensuring accurate trade-related processing, confirmations, and client reporting.
- Train junior staff on procedures, systems, products, and market knowledge needed to support the business effectively.
- Supervise junior team members and review their work to ensure accuracy, quality, and adherence to procedures.
- Develop operational control frameworks and create control reports that help identify, measure, and mitigate operational risks.
- Oversee complex settlement issues, investigate exceptions, and coordinate timely resolutions.
- Guide junior staff on escalated daily issues and support their development.
Requirements
- Bachelor Degree in Finance, Business, Economics, or related field.
- 5+ years' relevant experience
FAQs
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