Responsible Officer (Type 1&4)

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Hays Banking & Financial Services Hong Kong
  • 22 Sep 16

Responsible Officer (Type 1&4)

Operations, Head, RO, SFC

Your new company
This rising local brokerage house has been in full force in penetrating China market. As a subsidiary of a HK listed holding group, this institution is expected to have rapid expansion throughout Asia in the coming years. An opportunity has arisen for the Operation Head to lead the operation team in Hong Kong quarter to drive growth in Asia.

Your new role
As the Operation Head of the company, you will supervise a team of 20 and act as a Responsible Officer to supervise SFC Type 1, Type 4 regulated activities, administration and liaise with the operation team . You will develop operational and settlement procedure for delivering securities brokerage service to clients to ensure full regulatory compliance. You will be overseeing operation flow, motivating a team of operational staff to achieve operational standards and ensure team leaders are effectively managing all aspects of daily business operations. You will work closely with various departments and companies within the house to ensure smooth operations and facilitate the efficiency of business activities to achieve targets whilst maintaining a sound control environment.

What you'll need to succeed
You will be a current holder of SFC Responsible Officer Type 1 & 4 with a minimum of 8 years experience in brokerage, securities or asset management, engaging with high net-worth and corporate clients. Team management experience is advantageous. You will also have sound understanding of Securities and Futures Ordinance, SFC Code of Conduct and rules.

What you'll get in return
This is a highly visible role that could further enrich your career exposure and track record. You will be eligible for competitive remuneration package in addition to comprehensive fringe benefits.

What you need to do now
If you're interested in this role, click 'apply now' or for further information and a confidential discussion on this role or to find out about more opportunities in operations for banking and finance sector, contact Yetta Chan at Hays on +852 2230 7923 or email