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Responsible Officer (Sole & Conditional Type 2)

Sui Hang Asia Limited

  • Company Industries:Others

Job Information

  • Post Date:2017-01-20
  • Career Level:Middle
  • Location:Not Specified
  • Salary:Salary provided
  • Employment Type:Full Time, Permanent
  • Job Function:Financial Services  Dealing & Trading  Equities / Capital Markets  

Job Description

Responsibilities:

  1. Act as Responsible Officer to supervise SFC Type 2 regulated activity
  2. Formulate, review and update the Company's policies, guidelines and procedures to ensure full regulatory compliance
  3. Responsible for the monitoring of daily business and financial operations
  4. To provide advise and support to management on futures daily operations in compliance with all relevant regulated requirements and applicable laws as well as due diligence execution
  5. To establish proper documentation of all regulated activities
  6. To handle compliance cases and complaints
  7. To assist in communicating with regulatory bodies
  8. Assist in formulating company's investment strategy and oversee the investment of the company
  9. Participate in the preparation and development of annual business and budget plans
  10. Comply with applicable laws, codes, rules and regulations and standard of good market practices

 Requirements:

  1. Degree holder in Economics, Finance or related disciplines with minimum 5 years of relevant working experience
  2. Currently SFC registered RO / Qualified Technical Representative for Type 2 license
  3. Sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls
  4. Solid experience and understanding of Front-end trading (including securities and futures) operation and control
  5. Experience and understanding of Middle and Back office operations
  6. Strong analytical, leadership, interpersonal and presentation skills to interact effectively with all levels of staff and external parties
  7. Good command of English and Chinese including Putonghua
  8. Immediate available is highly preferred

 

We offer 5-day-work week with competitive remuneration & benefit packages to the right candidate. Interested parties please send your resume with current & expected salary and availability by clicking the "Apply Now" button below.

Company Info

Incorporated in 2016, Sui Hang Asia Limited is now applying the required licenses from the Securities and Futures Commissions in order to carry out regulated business activities.         

   
Our financial services include:            

  •  Type 1: Dealing in Securities        
  •  Type 4: Advising On Securities        
  •  Type 9 : Asset Management        

Our team has extensive professional experience, such as relevant experience in financial planning, global investment banking and investment management. 

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