Responsibilities:

• Assist in new license application
• As a RO to supervise and monitor day-to-day operations, including all SFC regulated activities
• Ensure all activities comply with HKSFC rules, regulations and regulatory compliance;
• Oversee Settlement, trading system and operational activities;
• Provide support and assist senior management in business development;
• Perform other duties as assigned

 Requirements:

• Current SFC Type RO 1 & 4 License holder with minimum 2 years of supervisory experience in brokerage firm and have discretionary account  management or qualify as a Type 9 RO are highly preferred
• Good knowledge and experience in bond related transaction
• Experience and understanding of Front-end Trading operation and risk control;
• Experience and understanding in FRR report review and Liquid capital calculation;
• Good knowledge of SFC ordinance, regulations and guidelines of relevant regulatory bodies, e.g. SFC and HKEx;
• Part-time or qualified representative will also be considered

Competitive salary package and fringe benefits are offered to the right candidate

Interested parties, please send your full resume with expected salary via the button “Apply Now” 

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