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.

Our company is a Hong Kong based financial institution located in Central.