Responsible Officer (Type 1, 4 & 9)
QMIS Financial Group Limited
- Company Industries：Financial Services
Job Information
- Post Date：2022-07-01
- Career Level：Senior
- Location：Sheung Wan
- Yr(s) of Exp：5 years
- Qualification：Degree
- Employment Type：Full Time
- Job Function：Banking / Finance Investment Equities / Capital Markets Asset Management
- Benefits：Dental insurance, Education allowance, Medical insurance, Overtime pay, Performance bonus, Five-day work week
Job Description
Responsibilities:
- Act as a Responsible Officer to supervise SFC Type 1, 4 & 9 regulated activities
- Supervise daily securities operations, including local and overseas market
- Oversee the compliance functions of the Company and take necessary actions to ensure all business activities comply with SFC rules and company guideline
- Work with senior management on company’s investment functions
- Responsible for analysis and implementation of fund investment plan
- Liaise with SFC for regulated activities related matters
- Sound knowledge of settlement procedures
Requirements:
- Degree holder in Finance, Business or Banking or any related disciplines
- Minimum 5 years management experience in securities firm
- SFC registered RO/Qualified Technical Representative for license 1, 4 & 9
- Good command of written and spoken English and Chinese and Mandarin
- Sound knowledge of SFO, SFC Code of Conduct and rules
- Technical Representative with at least 5 years relevant experience (including 3 years of management experience) will also be considered
Personal data collected will be treated in strict confidence and handled confidentially by authorized personnel for recruitment-related purposes within the Group. A copy of our Personal Information Collection Statement will be available upon request.
Company Info
Since its incorporation, The Group has setup offices in major international financial centers, including New York, UK, Kuala Lumpur, Beijing, Shenzhen and other places to develop a close business network in the US, UK, Hong Kong, China and Malaysia.
The Group brings together the best talents in the industry. Our team focuses on medical, technology, shipping, logistics, consumer goods and business services in China and Southeast Asia. We are committed to meeting the needs of the middle market and emerging growth companies. In particular, it provides pre-IPO restructuring and merger plans, or assists Southeast Asian companies to list overseas, allowing customers to nurture long-term business development in the capital market.
The talents of The Group are the most invaluable assets, we provide employees with a comfortable workplace, generous remuneration and benefits together with good employment training and professional development platform.
We cordially invite outstanding talents to join our team.
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