Responsibilities:

• Supervise Type 1,4,9 regulated activities and ensure the business operation in compliance with all relevant regulatory requirements and internal policies
• Liaise with SFC, HKEX and other regulators regarding regulatory and licensing matters
• Review and update internal control, operational policies and procedures
• Participate in marketing and business development
• Handle any other ad-hoc duties as required

Requirements:

• Current holder of SFC unconditional Responsible Officer license for Type 1, 4 and 9
• Degree or above in Finance, Business Administration or related discipline
• 5 years or above solid working experience in securities brokerage and asset management
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
• Solid understanding of front to back office operations, risk controls and investment process
• Successful track record of bringing in new business is a plus
• Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
• Good command of written & spoken English and Chinese (including Mandarin)