Responsible Officer (Type 1 & 4) Responsible Officer (Type 1 & 4) …

Michael Page
in Hong Kong
Permanent, Full time
Last application, 06 Apr 21
Negotiable
Michael Page
in Hong Kong
Permanent, Full time
Last application, 06 Apr 21
Negotiable
* Reputable Asset Management Company * Cover dealing, settlement, accounts, margin financing * Deal with local and overseas market securities operations

Established asset management company

Description

  • Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm

  • Act as a Responsible Officer to supervise Type 1 & 4 regulated activities in compliance with SFC regulations;

  • Provide advice and support to management on strategic activities and daily operations; and

  • Responsible for daily operation including dealing, settlement, accounts, margin financing, risk management and customer service, etc.

  • Supervise daily securities operations, including local and overseas market

  • Perform other ad-hoc projects and assignments as required.

Profile

  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control

  • Degree holder in Finance, Economics or a business-related discipline;

  • Licensed SFC Responsible Officer for Type 1&4 regulated activities (without conditions);

  • Dealing experiences in local and overseas stock markets (particular US);

  • Minimum 8-year relevant experience as a Responsible Officer in Type 1 & 4 regulated activities; and

  • Good command of written & spoken English and Chinese

Job Offer

Good package

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Hayley Law on +852 3412 4814.

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