Middle Office Manager

GUOTAI JUNAN INTERNATIONAL SECURITIES (SINGAPORE) PTE. LIMITED; Singapore; On-site; SGD 80,000 - 120,000; Full time

Job summary

A financial services company in Singapore is looking for a seasoned professional to join their wealth management team. The role encompasses client onboarding, trade execution, and regulatory compliance, requiring 5–10 years in relevant fields. Ideal candidates will hold a Bachelor's degree and may need to complete specific MAS modules. Strong organizational and analytical skills are essential, and fluency in Mandarin is preferred to communicate with headquarters.

Qualifications

• Minimum 5–10 years of relevant experience in wealth management, private banking operations, or trading.
• Completion of relevant CMFAS modules required for trade execution.
• Strong understanding of trading platforms and market operations.

Responsibilities

• Conduct pre-checks on client onboarding documentation.
• Support product onboarding processes and risk assessments.
• Execute client trades across multiple asset classes.
• Contribute to the design of operational workflows.
• Assist in policy development for compliance.

Skills

Client onboarding

Product due diligence

Trade execution

Regulatory compliance

Fluency in Mandarin

Education

Bachelor's degree in Finance, Economics, or Business

Tools

Bloomberg

MarketAxess

Job description

About us

Guotai Junan International is a leading diversified financial services company whose core business activities include brokerage, wealth management and investment management. The company has been building up its presence in Singapore to complement its existing businesses in Greater China and serve a wider range of customers and offer new business and financial products to meet evolving investors’ needs in the Greater China and Southeast Asia region.

Key Responsibilities

1. Client Onboarding & Documentation

• Conduct pre-checks on client onboarding documentation to ensure completeness and compliance with regulatory standards.
• Maintain and update client records, including KYC information and suitability profiles.
• Coordinate with compliance and legal teams to ensure onboarding procedures align with MAS and internal policies.

2. Product Due Diligence & Suitability

• Support product onboarding processes, including documentation preparation, risk assessment, and regulatory alignment.
• Assist in periodic product reviews and suitability assessments for clients.

3. Trade Execution & Investment Support

• Execute client trades across multiple asset classes (e.g., equities, fixed income, FX) in accordance with best execution practices and MAS Notice SFA 04-N16.
• Monitor market developments and client positions, providing timely execution support to Relationship Managers.

4. Platform & Process Enhancement

• Contribute to the design and optimization of operational workflows and front-office systems.
• Support the development of internal business models and process flows for new initiatives, including tokenized assets or digital platforms.

5. Regulatory & Business Control

• Assist in the development and review of policies and procedures to ensure compliance with MAS and other applicable regulations.
• Coordinate with internal control functions and regulators on audits, surveys, and inquiries.

Requirements

• Bachelor’s degree or above in Finance, Economics, Business, or related disciplines.
• Minimum 5–10 years of relevant experience in wealth management, private banking operations, trading execution or middle office functions.
• Completion of relevant CMFAS modules (e.g. M1B/RES1B, M6/CM-EIP, M6A/CM-SIP) as required by MAS for trade execution.
• Strong understanding of trading platforms (e.g. Bloomberg, MarketAxess) and market operations.
• Familiarity with regulatory frameworks in Singapore; knowledge of Hong Kong regulations is a plus.
• Experience in client onboarding, product due diligence, and documentation processes.
• Detail-oriented with strong analytical, organizational, and problem-solving skills.
• Fluency in Mandarin (spoken and written) preferred to liaise with stakeholders in HQ.