Responsible Officer Type 1
SR Wealth Securities Limited
- Company Industries:Financial Services
Job Information
- Post Date:2019-04-29
- Career Level:Middle
- Location:Sheung Wan
- Qualification:Degree
- Salary:Salary negotiable
- Employment Type:3 years
- Benefits:Full Time, Permanent
Job Description
Responsibilities
- Act as Responsible Officer to supervise SFC Type 1 and/or Type 4 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;
- Minimum 3 years experience as the Responsible Officer;
- Experienced 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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