What Jobs are available for Investment Advisor in Hong Kong?

Responsibilities:

Provide regular investment market and strategy updates that cover macroeconomic trends, industry patterns, market structures, and regulatory environments.

Maintain a proactive collaborative relationship with relationship managers to identify client needs, enhance clients' understanding of products, services, and investments, and provide timely and appropriate investment solutions.

Work closely with the Relationship Management and Wealth Management teams in providing specialist services in business planning and joint meetings.

Leverage on wealth management solutions such as bonds, structured products and funds to achieve high-net-worth customers' financial goals by matching their risk appetite.

Ensure strict compliance with all internal policies and procedures, as well as all regulatory requirements.

Job Requirements:

Bachelor's or Master's degree in Finance, Economics, Mathematics, Statistics, or a related field.

Holder of an SFC license type 1 and 4 for regulated activity, and CFA, FRM, or related professional qualifications.

A minimum of 5 years of experience in investment analysis or related fields, with a focus on the U.S. and/or Hong Kong markets.

Proficiency in English, Mandarin, and Cantonese.

Strong self-motivation, ability to work independently, and a team-oriented spirit.

Clear and precise decision-making skills, along with strong communication and presentation skills to illustrate investment concepts.

Depth understanding of private wealth products such as funds, structured notes, cash, and bonds, with the ability to provide professional and standardized product interpretations.

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

Full-time,Permanent

Responsibilities:

• Promote the Company's business and expand our HNW client base

• Achieve business and sales targets, revenue growth by promoting products & services to existing HNW clients as well as new client acquisition

• Provide recommendations and investment ideas within the context of the client's total portfolio and risk profile
• Manage after-sales process, including but not limited to performance monitoring & update on the recommendations and holdings
• Perform regulated activities and ensure full compliance with policies, standards, guidelines & procedures laid down by the Company and regulatory authorities
• Other ad hoc assignments as require

Key Requirements

• University degree in financial and relevant majors
• At least 3 years of experience in sales of hedge funds, mutual funds, alternative investment, structured products, securities trading and discretionary management
• Possess sound investment and financial knowledge and good understanding of financial markets and regulations

• Familiar with sales and marketing tools

• Client solutions-driven, self-motivated, target-driven, and a team player

• Excellent interpersonal skills and strong attention to detail and accuracy
• Proficiency in both English and Putonghua
• SFC Type 1, 4, and 9 regulated activities

Some careers have more impact than others.

If you're looking for a career where you can make a real impression, join Hang Seng and discover how valued you'll be. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, Hang Seng offers opportunities, support and rewards that will take you further.

Investments and Wealth Solutions – CIO and Investment Advisory

Hang Seng's Investments and Wealth Solutions offers a full spectrum of investment products and services to our Retail Banking and Wealth (RB&W) customers, from high-net-worth to mass segments across channels. We distribute investment funds managed by top tier fund managers covering different types of funds, across regions and asset classes. A wide range of structured products with underlying linked to equities, FX rates, interest rates, investment funds, etc. are offered for investors to pursue different investment objectives. We also offer fixed income instruments and certificates of deposit to customers who look for regular coupon payment. Besides, we have securities services covering exchange traded equities in local and overseas markets offered through a wide variety of trading channels. Margin trading services covering FX and securities, and investment financing service provides extra liquidity and purchasing power to cater for investment needs from sophisticated investors.

We are currently seeking a high caliber professional to join our team as Senior Investment Advisor.

Principal responsibilities

• Conduct in-depth Global Market Marco and/or FX research, generate investment strategies and portfolio ideas
• Prepare market commentaries, market update presentations, and provide advisory services for Retail Banking and Wealth
• Participate in Retail Banking and Wealth High-Net-Worth client meetings together with Relationship Managers to share investment market views and insightful asset allocation strategies
• Participate in the development and implementation of initiatives related to the compliance, systems and procedures for the investment advisory function

Requirements

• University degree in Finance, Economics or other relevant qualifications, with passes in the Hong Kong Securities Institute Licensing Examinations, CFA is a plus. Candidates with less academic qualification but possesses relevant work experience will also be considered
• At least 3-5 years' experience in investment advisory service, with good knowledge of global / local markets and investment products
• Fulfillment of the competency requirements to carry out relevant regulated activities as defined under the Securities and Futures Ordinance
• High level of customer centricity mindset with dedication to deliver exceptional quality services for customers
• Strong self-motivation, with the ability to work independently and under pressure
• Proficiency in both written English and Chinese, fluency in Putonghua an advantage

The employment is subject to Mandatory Reference Checking Scheme (MRCS) as per regulatory requirement. For details, please refer to Hong Kong Monetary Authority - Mandatory Reference Checking Scheme.

You'll achieve more when you join Hang Seng Bank Limited.

Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities and competitive compensation packages.

Issued by Hang Seng Bank Limited

At Julius Baer, we celebrate and value the individual qualities you bring, enabling you to be impactful, to be entrepreneurial, to be empowered, and to create value beyond wealth. Let's shape the future of wealth management together.

The role requires working closely with Relationship Managers to provide clients proactively with investment advice and asset allocation guidance focused on investment performance. He/she shall generate positive client performance according to the clients' respective risk profile and adding perceived value by proactively managing risks and opportunities. Further, he/she shall contribute towards the assets under management growth ambitions for the team. The incumbent shall also build highly effective relationships across the Bank to maintain and improve knowledge of the business and its latest products and services to optimise service to clients.

People Management

• Contribute to the strengthening of the team spirit and the fostering of a collaborative work environment
• Motivate and provide guidance/feedback to other team members to improve overall performance

Client Management (internal & external)

• Actively provide clients with top notch investment and asset allocation optimisation advice, generating positive investment performance according to the clients' needs and risk profile jointly with Relationship Managers
• Conduct regular portfolio reviews with clients and addressing deficiencies promptly and effectively
• Positively represent and market the team to help attract growth in assets under management
• Regular consultation with Front representatives to be kept updated of clients' needs/demands and take appropriate measures to fulfil them, where relevant

Business Management

• Work to fulfil the ambitions of the Client Coverage & Advisory Hong Kong – Greater China team
• Regular review of the function's practices to ensure efficiency and productivity are kept at optimal levels

Compliance & Risk Management

• Regular monitoring of clients' portfolio to ensure asset allocation and concentration/diversification are in line with the respective client's risk profile and investment goals
• Meet all legal, regulatory and compliance standards/requirements
• Adhere to all relevant Local User Manuals
• Regular assessment of the function's practices to mitigate associated risks arising out of and relating to the said function
• Demonstration of appropriate values and behaviours including but not limited to standards on honesty and integrity, due care and diligence, fair dealing (treating customers fairly), management of conflicts of interest, competence and continuous development, adequate risk management, and compliance with applicable laws and regulations

Personal and Social

• Able to work independently and in a global team setup to take on initiatives with a positive attitude
• Client-centric approach for all deliverables
• Able to quickly troubleshoot problems and provide effective solutions
• Excellent inter-personal skills, open and approachable
• Fast learner and able to work under pressure to meet tight deadlines
• Good communication/coordination skills to deal with different levels of stakeholders
• Highly motivated with integrative personality

Professional and Technical

• Relevant higher educational and professional background with relevant working experience (Senior: min. 7 years); experience in Private Banking context is a plus
• Strong fundamentals across all asset classes and investment products
• Experience in applying a global portfolio approach across all asset classes; CFA or equivalent an advantage
• Strong commercial judgement, business acumen and broad understanding of the financial market and products
• Languages Skills: Fluent in both English and Mandarin; Cantonese is a plus

Regulatory

• HKMA/SFC licensed representative
• Familiar with regulatory expectations and requirements
• Cross border rules and regulations

We are looking forward to receiving your full job application through our online application tool.

Job Description
Some careers have more impact than others.
If you're looking for a career where you can make a real impression, join Hang Seng and discover how valued you'll be. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, Hang Seng offers opportunities, support and rewards that will take you further.

Investments and Wealth Solutions – CIO and Investment Advisory
Hang Seng's Investments and Wealth Solutions offers a full spectrum of investment products and services to our Retail Banking and Wealth (RB&W) customers, from high-net-worth to mass segments across channels. We distribute investment funds managed by top tier fund managers covering different types of funds, across regions and asset classes. A wide range of structured products with underlying linked to equities, FX rates, interest rates, investment funds, etc. are offered for investors to pursue different investment objectives. We also offer fixed income instruments and certificates of deposit to customers who look for regular coupon payment. Besides, we have securities services covering exchange traded equities in local and overseas markets offered through a wide variety of trading channels. Margin trading services covering FX and securities, and investment financing service provides extra liquidity and purchasing power to cater for investment needs from sophisticated investors.

We are currently seeking a high caliber professional to join our team as
Senior Investment Advisor
.

Principal Responsibilities

• Conduct in-depth Global Market Marco and/or FX research, generate investment strategies and portfolio ideas
• Prepare market commentaries, market update presentations, and provide advisory services for Retail Banking and Wealth
• Participate in Retail Banking and Wealth High-Net-Worth client meetings together with Relationship Managers to share investment market views and insightful asset allocation strategies
• Participate in the development and implementation of initiatives related to the compliance, systems and procedures for the investment advisory function

Requirements
Requirements

• University degree in Finance, Economics or other relevant qualifications, with passes in the Hong Kong Securities Institute Licensing Examinations, CFA is a plus. Candidates with less academic qualification but possesses relevant work experience will also be considered
• At least 3-5 years' experience in investment advisory service, with good knowledge of global / local markets and investment products
• Fulfillment of the competency requirements to carry out relevant regulated activities as defined under the Securities and Futures Ordinance
• High level of customer centricity mindset with dedication to deliver exceptional quality services for customers
• Strong self-motivation, with the ability to work independently and under pressure
• Proficiency in both written English and Chinese, fluency in Putonghua an advantage

The employment is subject to Mandatory Reference Checking Scheme (MRCS) as per regulatory requirement. For details, please refer to Hong Kong Monetary Authority - Mandatory Reference Checking Scheme.

You'll achieve more when you join Hang Seng Bank Limited.

Hang Seng is committed to service excellence. Our people are our most important asset and play a vital role in our efforts to continually enhance our performance for customers and provide best-in-class products and services. We seek to attract high-calibre talent by offering a dynamic working environment, good career development opportunities and competitive compensation packages.

Issued by Hang Seng Bank Limited

Your new company

Our client is a fintech pioneer with decades of success in the financial industry. They specialise in providing innovative trading and wealth management solutions, connecting broker-dealers, asset managers, banks, and fintechs to markets and assets globally. With a strong focus on digital transformation, they offer cutting-edge platforms that enhance trading efficiency and investment management processes.

Your new role

• Partner closely with Relationship Managers and Senior Investment Advisor (Investment Counsellor) to deliver tailored investment advice to high-net-worth clients.
• Provide holistic and unbiased recommendations across asset classes including equities, bonds, FX, structured products, mutual funds, discretionary mandates, and private market investments.
• Monitor client portfolios regularly to assess performance, risk exposure, and identify new opportunities.
• Contribute actively to team-wide investment idea sharing and strategy discussions.
• Proactively manage a portfolio of assigned accounts and maintain strong client engagement.

What you'll need to succeed

• Minimum 3 years of stable experience in private banking, with a focus on investment counselling / product advisory / assistant relationship manager.
• Well-versed in multi-asset investment strategies, with working knowledge across various asset classes including derivative, structured product, fund, private market, etc.
• Strong analytical and quantitative skills, with the ability to evaluate portfolio risks and recommend optimal solutions.
• Fluent in both Mandarin and English (spoken and written), with excellent communication skills.
• CFA designation preferred; proficiency in Bloomberg and Microsoft Office tools is essential.

What you need to do now

If you're interested in this role or would like to consult about other professional career opportunities within the investment and wealth management industry, please send your CV to or contact

Investment Advisors are investment specialists within a marketing team. The primary role of the IA is to formulate investment strategies and work with Relationship Managers in managing client portfolios.

Main Duties

They shall support RMs primarily as follows:

• Meet and provide premium investment advisory to HNW clients and formulate investment strategies that align with client's target strategic assets allocation to meet investment objectives and risk profile.
• Relay the house view in their respective marketing teams and can call on product specialists for specific support or general training needs.
• Work with Relationship Managers on investment ideas, articulate investment concepts, create investment proposals and conduct portfolio reviews.
• Provide Advisory Portfolio Management Services
• Collaborate with Investment Solutions Group to generate products solutions and :
• Keep abreast of products in the market
• Propose new product ideas
• Develop, monitor and follow up on new trading ideas related to cash equities, bonds, FX as well as structured products and AIMS products.

Working Experience and Requirement

• Hold Type 1 and Type 4 licenses (SFC)
• At least 6-8 years in financial industry in an investment advisory position
• Strong inter-personal and communications skills
• Strong analytical and strategic thinking skills
• Team player
• Preferable for candidates with HKIB Enhanced Competency Framework (ECF) professional qualitifcation

Education Requirements

• Well recognized university degree, preferably with a CFA or other relevant post graduate qualifications

Key Responsibilities

• Client Advisory: Conduct in-depth assessments of clients' financial goals, risk tolerance, and investment preferences to develop tailored investment strategies. Provide recommendations on buying, selling, or holding securities such as stocks, bonds, ETFs, and mutual funds.
• Market Research: Analyze US securities markets, economic trends, and individual securities to identify high-yield opportunities and mitigate risks. Utilize financial statements, valuation models, and performance reports to support recommendations.
• Regulatory Compliance and Risk Management: Uphold fiduciary duties under the Securities and Futures Ordinance (SFO), including client suitability assessments, disclosure of risks, and anti-money laundering (AML) protocols. Maintain accurate records and ensure all activities comply with licensing requirements.
• Transaction Execution: Facilitate the purchase, sale, or transfer of securities through US exchanges or brokers, ensuring accuracy and compliance with federal regulations.
• Client Relationship Management: Build and maintain long-term client relationships through regular performance reviews, market updates, and educational sessions. Actively prospect for new clients through networking and marketing efforts.

Qualifications

• Education: Bachelor's degree in Finance, Economics, Business, or a related field. A Master's degree or CFA/CPA designation is a plus.
• Experience: Minimum of 10 years of experience in investment advisory, financial planning, or a related role with a focus on US securities markets.
• Strong analytical, presentation, and interpersonal skills for client-facing advisory.