Responsible Officer (Type 1 & 4)

  • N/A
  • Hong Kong
  • Permanent, Full time
  • Global Associates
  • 17 Jan 18 2018-01-17

Our client is a local securities company. It is now inviting applications for the Responsible Officer (Type 1 & 4).

Responsibilities:

  • Oversee the overall operation in Hong Kong
  • Ensuring the group's compliance of SFC regulation and liaising with SFC when necessary
  • Implementing regulatory guidelines and codes and ensuring the accuracy of statutory returns

 

Qualifications:

  • Existing Unconditional Responsible Officer for following are required:
    • Dealing in securities (Type 1)
    • Advising on securities (Type 4)
  • Solid related management experience in a securities firm
  • Excellent hands on experience in running the firms operations and compliance activities required
  • Self-motivated, proactive, a strong team player
  • Proficiency in written and spoken English and Cantonese.

 

 

If you are interested please send your full resume in MS Word format, along with salary history and expectation to Daniel Luk (dan.luk@globalassociates.com) and a cc: copy to cv@globalassociates.com