Responsible Officer Type 1 , 4 (with or without 9) / Investment Director
Headland JCH Business Consultant
- Company Industries:Human Resources Management / Consultancy
Job Information
- Post Date:2020-04-01
- Career Level:Senior
- Location:Not Specified
- Yr(s) of Exp:4 years
- Qualification:Matriculated
- Salary:Salary negotiable
- Employment Type:Full Time, Permanent
- Job Function:http://www.headlandjch.com
Job Description
Our client is a new established financial group in Hong Kong and would like to apply for SFC Type 1 & 4 and will apply Type 9 later. Currently we are mainly looking for suitable candidate
to fulfill the following position:
Responsible Officer / Investment Director
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”
Data collected will be used for recruitment purpose only.
Company Info
JCH
Business Consultant Ltd. / Headland JCH Business Consultant are a consultant group specialized in compliance and license application.
Contact
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