Responsible Officer (SFC Types 1&2)
Theme International Holdings Limited
- Company Industries:Financial Services
Job Information
- Post Date:2019-04-23
- Career Level:Not Specified
- Location:Sheung Wan
- Qualification:Not Specified
- Salary:Salary provided
- Employment Type:Not Specified
- Benefits:Full Time
Job Description
We are now searching for high caliber candidates to join our finance team.
- Perform and handle all spectrum of compliance duties related to all its affiliated companies (SFC Type 1(dealing in securities) & Type 2 (dealing infutures contracts))
- Liaise with SFC, HKEX and other regulatory organizations for all compliance and licensing matters
- To conduct internal compliance review and control, to ensure compliance policies and procedures are maintained and followed
- Ensure operation policies are fully implemented and adhered at all times
- Assist in developing, updating and reviewing policies, procedures, guidelines from the compliance perspective and circulate to staff for compliance purpose
- Develop business opportunities with potential clients
- Coordinate business operations between Hong Kong office and regional offices of the Group
Requirement:
- University graduate in Finance, Law or related disciplines
- Minimum 3 years working experience in Securities/Brokerage/Futures/Asset Management compliance, with 2 years management experience
- Sound knowledge of applicable law, rules and codes and working knowledge of securities and futures products
- Good command of written and spoken English and Mandarin
- Good communication skills and able to work with all levels of people
- Hard-working, independent and responsible
- Sales experience preferred
We offer competitive remuneration packages, 5-day work and bank holidays.
If you are interested in the above challenging position, please forward your resume together with salary details and availability to general @ 990.com.hk. All applications will be treated in strict confidence.
Personal data collected will be used for recruitment purpose only.
Company Info
We are a commodities trading and distributing company based in Hong Kong and Singapore with shares listed on the Main Board of The Stock Exchange of Hong Kong (Stock Code: 990). We are expanding our footprint in securities and financial services business by building a brand new one-stop financial services firm in Hong Kong.
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