Responsibilities:

• Act as Responsible Officer with management responsibilities and duties to supervise SFC Type 1, 2, 4 and/or 5 regulated activities;
• Supervise and manage daily operations to ensure full regulatory compliance;
• Assist in reviewing and maintaining proper documentation of all operations, policies and procedures;
• Comply assistance in communications with SFC and other regulators;
• Perform other duties as required; 

Requirements

• Degree or above in Finance or Business related disciplines;
• 3 years or above relevant experience in securities/futures industry background, previous experience in US stock market would be an advantage;
• Current holder of SFC Responsible Officer license for Type 1, 2, 4, and/or 5 regulated activities;
• Sound knowledge of SFO, regulations and guidelines of regulatory authorities and risk management control;
• Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills;
• Good command of both spoken and written English and Chinese, excellent Putonghua.

Please apply with full resume quoting the position title to us via e-mail. Personal data collected will be used for recruitment-related purposes only. Applicants not invited for an interview within 6 weeks from the date of this posting may consider their applications unsuccessful and their applications will be destroyed after 3 months.