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.
- Ensure readiness for new product types, platform expansions, or licensing changes.
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.
- Liaise with brokers and internal teams to ensure smooth transaction flows and resolve trade-related issues.
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.
- Participate in ad-hoc projects and system enhancement initiatives to improve operational efficiency.
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.
- Identify gaps in current compliance controls and recommend improvements.
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.
