Roles and Responsibilities
Equity Department provides various equity brokerage services mainly to institutional investors and carries out various operations associated with equity brokerage businesses.
Equities Dept consists of the 3 functional desks as below:
- Research Sales - provide Japan / Asian Equity Sales services (investment advisory, meeting arrangement and related services) mainly to portfolio managers, analysts of Singapore-based accredited investors and analysts of professional investors
- Sales Trading - providing equity sales trading services (investment advisory, trading support and related services) for Pan Asian markets especially for ASEAN markets to traders of institutional investors
- Corporate Access - providing logistics arrangement support for corporate & investors visiting ASEAN countries including Singapore, arranging conference calls with corporates for investors, and approaching ASEAN companies to make IR activities through Daiwa
The head of Equity Dept is responsible to manage and supervise all desks & employees of the department and to provide better equity brokerage services to clients of Daiwa Capital Markets, ensuring the department strictly to observe any related laws and internal compliance & rules.
- To ensure the department to strictly observe any related law and internal rules
- To ensure to provide better services for clients and to keep upgrading to do so
- Being responsible for trade and price quoted to client
- To monitor trading limit and any other limit for trading
- To report to LCD on a timely manner anytime when irregular transactions or client complaints are found out
- Being responsible for ensuring the policies and procedures of department and updating to the actual
- To monitor client activities and report relevant senior managements if necessary
Requirements
- Bachelor's degree in Finance, Economics, Business, Accounting, or a related field
- Master's degree / MBA is an advantage
- 10-15 years of relevant experience in equity brokerage, institutional sales, sales trading, research sales, or equity capital markets
- At least 5 years in a managerial or leadership role
- Strong experience working with institutional investors, especially in Asian / ASEAN equity markets
- Proven experience in client relationship management, trade oversight, and team supervision
- Experience in compliance, risk monitoring, and regulatory reporting within a financial services environment
- Strong understanding of equity markets, trade execution, brokerage operations, and market regulations
- Relevant capital markets / securities licenses if required by local regulations
