RO Type (1,4,9)

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.