Responsible Officer (Type 1) Responsible Officer (Type 1) …

Goldhorse Securities Limited
in Hong Kong
Permanent, Full time
Last application, 22 Apr 21
Competitive
Goldhorse Securities Limited
in Hong Kong
Permanent, Full time
Last application, 22 Apr 21
Competitive
Responsibilities:
  • Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm;
  • Act as a Responsible Officer to supervise Type 1 regulated activities in compliance with SFC regulations;
  • Provide advice and support to management on strategic activities and daily operations;
  • Responsible for daily operation including dealing, settlement, accounts, margin financing, risk management and customer service, etc.;
  • Supervise daily securities operations, including local and overseas market;
  • Perform other ad-hoc projects and assignments as required.

 Requirements:

  • Solid knowledge of SFO, regulations and guidelines of relevant regulatory authorities;
  • Degree holder in Finance, Economics or a business-related discipline;
  • Licensed SFC Responsible Officer for Type 1 regulated activities (without conditions);
  • Dealing experiences in local and overseas stock markets;
  • 3 year relevant experience as a Responsible Officer in Type 1 regulated activities (lesser expereience will also be considered);
  • Good command of written & spoken English and Chinese.
More Jobs Like This
See more jobs
Close
Loading...
Loading...