Responsible Officer (Type 1)
D&R One Asia Capital Management Limited
- Company Industries:Others
Job Information
- Post Date:2017-01-12
- Career Level:Senior
- Location:Not Specified
- Salary:Salary negotiable
- Employment Type:Full Time, Permanent
- Job Function:Dealing & Trading
- Benefits:Five-day work week Medical insurance
Job Description
We are looking for a fit & proper Responsible Officer who is eligible to supervise the Type 1 regulated activities.
Responsibilities:
- Act as a Responsible Officer to supervise the Type 1 regulated activities
- Formulate, review and update the operational procedures to ensure full regulatory compliance
- Supervise and manage online securities brokerage operations
- Provide advice and support to top management on strategic activities and daily operation
- Liaise with other professional parties and communicate with relevant authorities, such as SFC and HK Stock Exchange
Requirements:
- Current holder of SFC Responsible Officer license in Type 1
- 3+ years of solid experience in online securities business in capacity of supervising related activities
- Experience in margin financing
- Sound knowledge of SFO, SFC codes and relevant regulatory requirements and risk management controls
- Strong leadership, good interpersonal and communication skills
- Good command of spoken Mandarin and English
Interested parties please click "Apply now" and send us your CV with present and expected salary and notice period.
Company Info
Our company is a Hong Kong based financial institution located in Central.
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