Securities Assistant

Grand Tai Financial Holdings Limited; Hong Kong; On-site; HKD 240,000 - 360,000; Full time

Job summary

Grand Tai Financial Holdings Limited is seeking an Account Executive to assist securities brokerage operations in Hong Kong, including client account opening, KYC, document review, and filing. You will respond to client inquiries on securities matters and follow up on trades and settlements.

You will maintain client records, support annual reviews of documents, and assist the compliance and risk team in preparing regulatory reports.

Qualifications

• Bachelor's degree or above.
• Practical AE experience in Hong Kong securities firms preferred.
• Familiar with securities brokerage workflow.
• Understanding of HK stock account opening, trading and KYC procedures.
• Proficient in MS-Excel.
• Fluent in Cantonese, English and Mandarin.
• Attentive detail-oriented with good client-service communication skills.

Responsibilities

• Assist securities brokerage operations, including client account opening, KYC / customer due diligence, document review and filing
• Handle client enquiries on securities‑related matters, follow‑up on trade and settlement issues
• Maintain client records, follow‑up on annual review and update of client documents
• Support compliance & risk team to prepare regulatory reports and documents
• Liaise with brokerage intermediaries and perform ad‑hoc tasks assigned by supervisor

Skills

MS-Excel

Client service

Attention to detail

Education

Bachelor's degree

Job description

Assist securities brokerage operations, including client account opening, KYC / customer due diligence, document review and filing. Handle client enquiries on securities‑related matters, follow‑up on trade and settlement issues. Maintain client records, follow‑up on annual review and update of client documents. Support compliance & risk team to prepare regulatory reports and documents; liaise with brokerage intermediaries and perform ad‑hoc tasks assigned by supervisor.

Key responsibilities

Assist securities brokerage operations, including client account opening, KYC / customer due diligence, document review and filing

Handle client enquiries on securities‑related matters, follow‑up on trade and settlement issues

Maintain client records, follow‑up on annual review and update of client documents

Support compliance & risk team to prepare regulatory reports and documents

Liaise with brokerage intermediaries and perform ad‑hoc tasks assigned by supervisor

About you

Bachelor's degree or above

Practical working experience as AE (Account Executive) in Hong Kong securities firm, familiar with securities brokerage workflow is preferred

Understanding of HK stock account opening, trading and KYC procedures; SFC Type 1 license holder is preferred

Proficient in MS‑Excel

Fluent in Cantonese, English and Mandarin

Attentive detail‑oriented with good client‑service communication skills

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