Our clients are online trading platform / Top tier Chinese Investment Banking.
Responsibilities :
- Act as a Responsible Officer to supervise SFC Type 1 & 2 regulated activities
- Supervise the dealer in the Dealing Room to ensure all regulated activities in relation to the dealings in securities
- Formulate & Review Dealing department’s operations internal controls and procedures
- Supervise and manage daily operations, including account opening process, accounts’ dealing activities, margin accounts’ risk control and client services
Requirements:
- Bachelor degree or above
- Minimum 3 - 5 years relevant experiences as a RO in securities firm
- Current holder of SFC unconditional Responsible Officer license for Type 1 & 2 regulated activities.
- Sound knowledge of SFO, SFC codes & guidelines, regulations
- Ability to work independently, familiar with securities dealing operations
- Good command of written & English and Chinese ( Mandarin and Cantonese )
- Immediate availability is highly preferred
