Breaks and Control Officer

Full Time
Intermediate (3-6 years)

Job Description

Breaks and Control Officer

Location: APAC-HKG-Hong Kong-Hong Kong

  • Prepare daily Cash, Stock and sub-system Break reconciliation reports for investigation
  • Fail trade Management
  • Analyze and Follow up on breaks/Fails until they are satisfactorily resolved
  • Client Asset Segregation request
  • Monthly proofing of accounts
  • System Account Maintenance
  • Maintain retention records
  • Structured Warrants issuance operations
  • HK Market OTC Stamp duty reporting
  • Provide support on ad hoc requests and queries
  • Generate weekly and monthly MIS reporting decks for the business and senior management
  • Perform Quarterly Self-Assessment (MCA) tests and review activities for OPS process units
  • Assist with COB preparations
  • Assist OPS process units for internal and external audits and regulatory examinations/ inspections
  • Office administration


  • Diligent, independent, proactive and able to work under tight schedule and pressure
  • Strong attention to detail and a high level of accuracy
  • Strong interpersonal and communication skills to deal with a wide range of staff levels and roles
  • Strong risk analysis and problem solving skills
  • A strong team player with a professional attitude
  • Flexible/Open minded to change and to influence
  • Willingness to adopt a hands on approach
  • Focus on continual process improvement, and rationalization of control measures to enhance effectiveness and efficiency of operations and realization of cost savings opportunities
  • 3 years minimum working experience in Product Control/Operations functions preferably with control and audit experience

Technical Skills

  • Accountancy
  • Audit
  • Costing
  • External Audit
  • Process Improvement
  • Reconciliations
  • Risk Analysis