Associate Director, FICC Client Management

Hong Kong, Hong Kong
May 10, 2023
Jun 09, 2023
Industry Sector
Finance - General
Employment Type
Full Time
Position Description

The position will be responsible for FICC's international client management function within the COO office. As a team lead, the person will strive to support FICC's day to day client administration and client management activities. The person will be helping to prospect and onboard new clients to execute the international client strategy of FICC and support Sales management in arranging client meetings, client conference as well as client product marketing events. As a team lead, the role will also be responsible for controlling all client related FICC documents such as NDA, client final termsheets, client agreements, etc. Also establish the needed process and workflow to comply with any regulatory and internal policies/requirements.

Key Areas of Responsibilities
  • Supervise and oversee the day to day activities of the FICC client management activities.
  • Central gatekeeper for FICC client documentations and ownership in defining the workflow based on regulatory & internal policies/requirements.
  • Maintain client documents (NDA, termsheets, investor representation letters, master agreements, signed documents etc) for FICC centrally and devise a process to ensure inventory is complete, in good order and filed efficiently for future audit / regulatory inspections.
  • Maintain and keep track of FICC signatories. Ensure signing authorities on all external agreements are tracked. Validate client returned signed copies are traceable to their authorised signatory list.
  • Support Sales Management in devising FICC's Client Strategy and develop target client list.
  • Maintain client marketing schedule, event planner and client feedback follow up.
  • Aid with client pitch material eg onboarding pitch deck.
  • Analyse prospective clients, research for client contacts and prepare account management plan with Sales Management to onboard clients.
  • Work with prospective clients to onboard to CITIC CLSA for trading FICC products
  • Work closely with KYC operations team to drive the account remediation, post-trade documentation collection and agreement re-negotiation for sales.
  • Support COO to ensure all systems client administration setup for new clients are in place prior to trading.
  • Remediate client administration setup for existing clients that have been inactive and also contact client to re- prospect them for business.

  • Good understanding of client needs for pre-trade setup to onboard a prospect to trade FICC products.
  • Good prioritization, organisational and multi-tasking skills
  • Familiarity of client agreements used in FICC
  • Self-motivated, desire to be challenged and eager to learn
  • Ability to explain FICC product pre-trade process (eg DvP cash, ISDA OTC setup & GMRA repo setup) to handhold client through the account opening process and the Hong Kong AML regulatory requirements.
  • Good communication skills (verbal and written) are a must-have. Proficiency in English a must, Business Mandarin/Cantonese is desirable
  • Knowledge of SFC requirements around Hong Kong Professional Investors desirable
  • Attention to detail and process oriented
  • Proficient in Powerpoint, Word and Excel
  • Graduate Degree in Finance, Economics or of a similar nature.
  • Meets SFC license credential for Type 1 activities will be a plus

If you are seeking a dynamic environment in which to build your career in CITIC CLSA, please send your resume to Kindly specify the position title in the email subject for job application.

CITIC CLSA may collect personal data from you for purposes relating to your engagement with the Company, including human resource management and other business and internal / external compliance purposes. Any personal information and /or data collected and held by the Company may be used by the Company or transferred (whether within/ outside Hong Kong) to any other parties within the Company, subsidiaries and affiliates of the Company, internal or external service providers, or any other relevant parties including governmental or regulatory authorities, for the above purposes.
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