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.
More Jobs From Kingfisher Executive Search (HK) Limited
- 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
- 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.