Dispute Resolution Analyst I

Req #657Kwun Tong, Hong Kong

  

As a Dispute Resolution Analyst, you will investigate client complaints using proprietary systems and external platforms, analyze trading activity, and provide clear, well-documented resolutions to client concerns and regulatory matters.

Key Responsibilities

Complaint Investigation & Resolution

Conduct comprehensive investigations into client complaints across equities, options, futures, forex, and fixed income, including:

• Trade Execution Issues: Order routing, non-executions, delayed executions, erroneous fills, and execution quality concerns
• Account Funding: Deposit/withdrawal delays, rejected transactions, third-party fees, and asset transfer issues
• Corporate Actions: Dividend payments, stock splits, mergers and acquisitions, and other corporate event processing
• Reporting & Tax Matters: Cost basis discrepancies, dividend allocation, and withholding tax concerns
• Platform & Technology: Connectivity issues, platform functionality, and data discrepancies
• Account Administration: Margin calls, liquidations, interest charges, and fee disputes
• Client Service Quality: Communication concerns and service level complaints

Documentation & Communication

• Prepare clear, professional written responses compliant with regulatory requirements, and internal policies
• Document findings with supporting evidence and maintain detailed case records
• Meet regulatory deadlines for complaint acknowledgment, investigation, and resolution
• Translate complex technical and market concepts into client-friendly language
• Escalate systemic issues with comprehensive summaries and actionable recommendations

Process Improvement

• Identify trends in client complaints to recommend preventative measures
• Contribute to knowledge base articles and internal procedures
• Participate in cross-functional projects to enhance client experience

Required Qualifications

Education

• Bachelor's degree

Experience

• Minimum 2–3 years in financial services, with preference for:
  • Client complaint handling or dispute resolution
  • Brokerage operations or trade support
  • Banking operations or client relations
• Experience managing complaints escalated to the regulator (SFC, ASIC, MAS), including drafting regulatory responses and managing formal inquiry processes, is strongly preferred

Skills

• Strong written and verbal communication skills
• Proficiency in Microsoft Word & Excel
• Solid knowledge of financial markets and products
• Fluency in English (additional languages a plus)

Valued Additional Experience

• Programming skills — valuable for data analysis and process automation
• Proficiency with AI tools for enhanced research, analysis, and productivity
• Experience with Bloomberg Terminal or similar market data platforms

Company Benefits:

• Competitive Salary, annual performance-based bonus and stock grant
• Excellent health and welfare benefits including medical, dental, specialist and inpatient
• Competitive package of Annual Leave
• Daily lunch ordered in-house with a fully stocked kitchen
• Modern offices with multi-monitor setups
• Great work-life balance
• Unique opportunity to gain exposure to global financial products, markets and clientele
• Opportunities for career progression and job scope expansion in a global company with a growing local presence
• Hybrid work arrangement role permitting