SFC Responsible Officer (RO) Type 1,4,9
Big Bay Securities (HK) Limited
- Company Industries：Others
Job Information
- Post Date：2018-04-19
- Career Level：Top
- Location：Not Specified
- Salary：Salary negotiable
- Employment Type：Full Time
- Job Function：Financial Services
Job Description
Responsibilities:
- Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm
- Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm
- Manage daily operations to ensure full regulatory compliance
- Comply with all applicable laws, rules and regulations and standard of good market practices
Requirements:
- Minimum 3 years of solid experience in asset management relating to portfolio management and fund management in any one of the areas: research, proprietary trading (with discretion), private equity, special situations and dealing with alternative investments.
- Current holder of SFC unconditional Responsible Officer license for Type 1, Type 4, Type 9 regulated activities preferred. However, current Type 1, Type 4, Type 9 Representatives will also be considered if they have the above mentioned experiences.
- Fund and bond distribution experience a big plus.
- Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
- Solid understanding about middle and back office operations, risk controls and investment process of fund management companies
- Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
- Good command of written & spoken English and Chinese (including fluency of Mandarin)
Company Info
Big Bay Securities (HK) Limited (“Big Bay”) commenced its operation since 2010. It is a wholly owned subsidiary of Sunway International Holdings Limited (Listed on the Main Board of the Stock Exchange of Hong Kong, Stock code: 00058.HK).
Big Bay is a licensed corporation for Type 1 (Dealing in Securities) regulated activity registered under SFO and a Stock Exchange trading participant of Hong Kong.
Big Bay is a professional financial services provider to institutional clients, corporate clients as well as high-net-worth individual investors, Big Bay strives to provide an innovative and reliable trading platform that allows clients to trade globally at any time. Combining international vision and local know-hows, Big Bay delivers customized investment solutions to meet the specified needs of different clients from Greater China and elsewhere globally.
The products that Big Bay is offering are securities brokerage; securities margin financing and securities custody services.
Our mission is to become one of the best financial institutions offering comprehensive and full range financial services to our clients. We are dedicated to serve clients to capture investment opportunities with the aim of growing their wealth. Through the implementation of “China-Hong Kong Stock Connect”, our professional teams will continue to be the industry pioneer, actively expanding our services to the profitable diversified, extensive financial services and products.
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