Responsible Officer Type 1 Responsible Officer Type 1 …

JobsLab
in Hong Kong
Permanent, Full time
Last application, 18 Oct 21
Competitive Package
JobsLab
in Hong Kong
Permanent, Full time
Last application, 18 Oct 21
Competitive Package
Our client is a Chinese financial firm who with a large principal investment book. Their investment style is deep fundamental. This will be a great opportunity for candidate, especially for those who enjoy working under a good environment.

Responsibilities

  • Act as Responsible Officer to supervise SFC Type 1 regulated activities of the firm;
  • Responsible for daily operation including dealing, settlement, risk management and customer service etc;
  • Formulate, review and update the operational procedures to ensure all regulatory reporting requirements are fulfilled in a timely and compliant manner with local regulatory bodies;
  • Liaise with other professional parties and communicate with relevant authorities, such as SFC and Hong Kong Stock Exchange;
  • Liaise with prime brokers to open accounts, get credit lines and other arrangements;
  • Support senior management and assist in various business development exercises

Requirements:

  • Current holder of SFC Type 1 RO license with relevant experience for not less than 5 years(with other SFC licenses at the same time an advantage)
  • Knowledge of Bloomberg and basic computer skills are preferred
  • Bachelor degree (or above) in Finance, Economics, Business or other related disciplines
  • Strong leadership, good interpersonal and communication skills
  • Proficiency in both English and Mandarin
  • Immediately available is highly preferred
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