Job Highlights

  • settlement officer, SOE investment bank
  • Securities, brokerage, Equities, OTC products
  • Good career progression, mandarin speaking

Job Description

Client Background:

Our Client is an established full license (SFC 1,4,6.9)  firm with focus on IBD and DCM, their full business includes brokerage, IPO,DCM,ECM, M&A, Asset Management, wealth management and Prop trading. They are now looking for a settlement senior officer to expend their team. 


  • Supervise daily operation of settlement activities for local and global options, and equities.
  • Perform daily stock reconciliation, handle IPO, placing related operations Issue and follow up trade confirmation and trade matching
  • Ensure all trade processing and clearing activities are done timely and accurately.
  • Monitor daily settlement functions of Hong Kong and overseas securities markets, stock options and OTC markets.
  • Perform daily operations of equity settlement, stock option and system day end processing
  • Monitor other tasks such as trade matching, corporate action, day-end reports.
  • Participate in ad-hoc projects including UAT and system development when needed
  • Participate in any other ad hoc projects such as UAT, system migration.
  • Liaise with brokers and counterparties for settlement issues
  • Handle pre-matching of settlement instructions, daily booking and settlement process
  • Ensure all processing transactions are compiled with all relevant external regulators and in-house policies
  • Monitor and fulfill regulatory requirement for large open position submission, HKMA TR,CRS,
  • Supervise and fulfill internal control requirement on workflow, product such as margining
  • Communicate with internal and external parties to solve all settlement problems


  • Associate Degree / Higher Diploma holder or above.
  • At least 1 year of settlement experience in HK equities market from securities firm, investment bank, bank or related financial institution.
  • Proficiency in Cantonese and Mandarin is an advantage
  • Self-motivated, willing to learn and work under pressure, independently and multi tasks
  • Independent, self-initiative and good interpersonal skills
Job Functions: Accounting / Finance / Corporate Services / HR Banking / Financial Services / Insurance
Job Type: Full Time Permanent
Years of Experience: 1 Year

Apply for this position

Allowed Type(s): .pdf, .doc, .docx
  • Share