Responsible Officer 1, 2 ( Dealing ) Responsible Officer 1, 2 ( Dealing ) …

Be Myjob Company Limited
in Hong Kong
Permanent, Full time
Last application, 01 Mar 21
HKD 60k x 12 M + Bonus
Be Myjob Company Limited
in Hong Kong
Permanent, Full time
Last application, 01 Mar 21
HKD 60k x 12 M + Bonus
Posted by:
Jeffrey Tang • Recruiter
Posted by:
Jeffrey Tang
Recruiter
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
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