My Client which is a list Financial Group looking for an experience Responsible Officer Type 1

Responsibilities :-

• Supervise Type 1 regulated activity (dealing in securities) as defined under Securities & Futures Ordinance (SFO)
• Overlook Settlement and Operation Department
• Supervise and manage the daily brokerage operations including margin and credit risk control
• Responsible for OTC operations and placing of securities
• Provide assistance in communicating with SFC, HKEX, and other relevant regulators with Company’s Legal and Compliance Department
• Provide assistance in the Company’s business development plans
• Maintain proper documentation of all operations, procedures, and risk control policies
• Perform other duties as assigned

 Requirements :-

• Degree holder or above
• Current SFC Type 1 Responsible Officer License holder
• Solid background in local brokerage services and operations
• OTC securities dealing or IFA experience is a plus
• Self-motivated, excellent interpersonal and problem solving skills
• Good command of written and spoken English and Chinese (Cantonese and Mandarin)
• Sound understanding of SFO, regulations and guidelines of relevant regulatory authorities

Please send your FULL RESUME (in MS Word format) with AVAILABILITY, CURRENT and EXPECTED salary to our dedicated email listed above. We look forward to speaking with you!