Responsible Officer (SFC RO 1)
HK Monkey Securities Limited
- Company Industries:Others
Job Information
- Post Date:2018-04-11
- Career Level:Middle
- Location:Not Specified
- Salary:Salary negotiable
- Employment Type:Full Time, Permanent
- Job Function:Financial Services Dealing & Trading Top Executives (CEO, CFO, CTO, GM, MD etc.)
Job Description
We look for a fit & proper Responsible Officer who is eligible to supervise Type 1 regulated activity.
Key responsibilities include:
- Supervision of relevant SFC regulated activities to ensure compliance with the Company policies, statutory rules and regulations
- Formulate, review and update the operational procedures to ensure full regulatory compliance
- Business scope in Securities dealing and brokerage, underwriting and placement
- Support senior management and assist in various business development
- Coordinate effectively with various teams and business partners to effectively implement business / investment decisions to ultimate goals
- Ensure daily operations in compliance with HK SFC regulations
- Help establish and strengthen internal operation flows to improve work efficiency
Job Requirements:
- Degree holder in Finance or Business related disciplines
- Minimum of 3 years management and 6 years working experience in relevant SFC regulated activities
- Good in handling compliance matters for relevant SFC regulated activities
- MUST be registered under SFC RA1 licensed as Responsible Officer or as Licensed Representative for over 6 years
- Good financial market knowledge and strong compliance sense
- Team player, cheerful personality; has a strong sense of responsibility, honesty and trustworthiness, has an excellent work ethic and integrity
- Proficiency in written and spoken English and Chinese (including Putonghua)
We offer competitive remuneration packages to the right candidate. Interested parties please email your resume with CURRENT & EXPECTED SALARY & AVAILABLE DATE.
Company Info
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