- Operational Risk
- Risk Management
Captial Market Operation
Location: APAC-HKG-Hong Kong-Hong Kong
Client Liaison - The role will involve direct liaison and interaction, often at senior levels, with our internal clients such as CMO, IBD, as well as our external clients including selling shareholders and issuing companies.
Deal Management - Candidates will need to have strong communication and interpersonal skills and be able to manage all aspects of the new issuance process from structuring through to closing. The candidate will provide the effective link between the Business Units and all other Operational areas as well as Legal, Compliance and Treasury.
Technical Expertise - Candidates will need to have a good knowledge of the AP markets and clearing systems as well as the mechanics of settling Equity, Convertible Bond products via Euroclear / DTC
Risk Management - The role involves exposure to the Firm's largest clients and deals. The candidate must therefore be able to demonstrate an excellent awareness of risk, and an ability to ensure the Franchise is protected at all times.
Control & Reconciliation - Candidates must demonstrate due care and attention to detail and maintain focus on control at all times.
- As both Franchise and Operational risk is high, the role requires a high level of risk awareness and judgment to escalate all potential issues. An acute understanding for the need for guardianship is important at all times.
- The candidate will need to be able to take full responsibility for their deals and to demonstrate an ability to ensure that risk issues are highlighted and minimized at all times
- Good organizational skills are important as there are very few daily tasks or deadlines and each transaction is different. It is down to the individual to manage their own workload and possess the motivation to organize all aspects of the deal they are responsible for. Due to time constraints and the ever-changing nature of deals, being able to work constructively under pressure efficiently is important. Attention to detail is key.
- Be an effective team player- due to the small size of the team and the need to work closely together on deals it is essential that the candidate be a strong team player. The discussion and sharing of knowledge is an important part of the role.
- Good working knowledge of Equity settlements in the AP markets is required especially with full understanding and experience on the market cut off time and settlement process.
- Excellent verbal and written communication skills are needed. The candidate must be articulate and be able to clearly explain complex processes and deal mechanics as the role involves dealing with those who may not be familiar with settlement processes. They should also be confident at chairing meetings with senior attendees and be able to challenge information and requirements if necessary. It is important to build and maintain both internal and external relationships as you often deal with the same people on different deals. Strong leadership and management skills are therefore necessary.