For Recruiters

RO Type (1,4,9)

Kingfisher Executive Search (HK) Limited
Hong Kong
Posted 3 days ago Permanent HK$60k - HK$100k
K
Posted by
Kevin Tsui
Recruiter
Our client is the investment arm of a digital bank and is looking for an unconditional RO Type 1,4,9. Experience with stocks is a must.

Responsibilities:

  • Act as Responsible Officer to supervise SFC Type 1,4,9 regulated activities
  • Manage daily operations to ensure full regulated compliance.
  • Ensure all business activities comply with SFC rules and guidelines
  • Liaise with SFC, HKEX and other regulatory bodies for regulated activities related matters
  • Formulate, review, and update the operation procedures to ensure full regulatory compliance
  • Evaluate and analyse potential investment opportunities through companies and market research
  • Provide advice and support to management on strategic activities and daily operations

Requirements:

  • Degree holder in Finance, Economics or a business-related discipline; Licensed SFC Responsible Officer for Type 1, 4 & 9 regulated activities (without conditions);
  • Strong experience in securities trading in global markets (esp. Hong Kong, China Stock Connect, etc);
  • Well versed with the Securities and Futures (Client Money) Rules, Securities and Futures (Client Securities) Rules and CCASS Trading Rules;
  • Relevant experience in supervising customer services and settlement of securities brokerage;
  • Experience in discretionary portfolio management (have an advantage but not essential) and
  • Good command of written & spoken English and Chinese, proficiency in Mandarin Chinese is preferred.
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