Responsible Officer Type 1
SR Wealth Securities Limited
- Company Industries：Financial Services
Job Information
- Post Date：2019-03-01
- Career Level：Middle
- Location：Sheung Wan
- Yr(s) of Exp：3 years
- Qualification：Degree
- Salary：Salary negotiable
- Employment Type：Full Time, Permanent
- Others：Full Time, Permanent
- Job Function：Others
Job Description
Responsibilities
- Act as Responsible Officer to supervise SFC Type 1 regulated activities
- Supervise and manage daily securities brokerage operations for local markets, including the account opening process, account maintenance and customer services
- To formulate, review and update the operational procedures to ensure full regulatory compliance;
- Provide support to top management on business development activities
Requirements:
- Degree holder or above in Business Administration, Economics, Finance or related disciplines
- Currently holder of Type 1 Responsible Officer
- Experience in front and back office operation;
- Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
- Good command of written and spoken English, Chinese and Mandarin
- Experienced in Placing
Company Info
SR Wealth Securities Limited is
a company incorporated in Hong Kong and
a participant of The Stock Exchange of Hong Kong Limited. The principal businesses of
SR Wealth Securities Limited are dealing in securities, provision of margin financing and placing services.
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