Responsible Officer Type 1, 2 & 9 Responsible Officer Type 1, 2 & 9 …

Mario Recruitment Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 27 Sep 19
Competitive salary package
Mario Recruitment Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 27 Sep 19
Competitive salary package
Our Client is an established Asset Management group in Hong Kong with 6- 8 years' experience. They are now looking for a high calibre for business expansion.

Job Responsibilities:

  • Act as a Responsible Officer with management responsibilities and duties to mainly supervise on SFC Type 1, 2 & 9Regulated Activities
  • Supervise on sales & trading and operations
  • Lead a team of account executives and business development officers
  • Provide advice and support to top management in discretionary accounts management
  • Assist top management in strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
  • Formulate, review and update the operational procedures to ensure full regulatory compliance
  • Assist in communicating with regulatory bodies

 

Job Requirements:

  • A holder of bachelor degree or above
  • Possess 5+ years of solid experience in brokerage and licensed corporations in capacity of supervising regulated activities in Type 1, 2 & 9
  • Current holder of SFC Responsible Office license for Type 1, 2 or 9
  • Obtain sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls
  • Possess strong leadership, analytical, communication and presentation skills
  • Proficient at Cantonese, Mandarin and English
  • Candidates who look for full time or flexible hours are welcome to apply
  • Please submit your full resume, CE No. and current & expected packages to us. Applications with insufficient information will not be processed.
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