崗位職責： 

1.負責籌備、規劃公司在香港進行香港證監會牌照的申請或收購材料撰寫、風險把控，能夠及時與香港證監會保持溝通與聯系； 

2.負責公司相關業務的境內外對接協調與項目相關的各種關系，協助公司相關負責人進行在香港業務開展； 

3.能夠提供單位信托基金配售及包銷證券的買入和出售服務，能以全權形式，為客戶提供基金管理、證券及期貨合約投資管理服務； 

4.管理日常運營和交易活動，確保其完全符合公司內部風險控製和香港證監會適用的法律條例要求；

5.負責有關監管管理活動的事宜，與香港證監會、香港交易所及其他監管機構聯絡； 

6.根據公司的戰略部署，組織具體工作實施，完成工作內容； 

7.定期進行合規性測試，為業務合規和風險管控提供高效的解決方案； 

8.負責起草業務合規性的部門手冊； 9.完成領導交付的其他工作。 

任職資格： 

1.本科及以上學歷，金融、經濟、財會、管理、法律等相關專業者優先；

2.符合香港證監會1號牌或9號牌持牌人員的工作經驗要求，如具備1號牌或9號牌條件者均優先考慮，具有申請或收購1號牌或9號牌全流程經驗； 

3.具有3年以上香港、內地金融持牌機構從業經驗，過往曾具有香港證監會1號牌或9號牌業務開展經驗，熟悉大陸、香港資本市場和境內外證監會的政策法規； 

4.具備較好的產品創新意識（包括但不限於交易結構、風險偏好、資源分配形式，供給與需求各方金融要求多樣化），具備主觀能動性、團隊協作能力和獨立工作能力； 

5.具備良好的英語、粵語的書寫和口頭表達能力，普通話熟練者優先，公文寫作能力較強； 

6.持有香港居民身份證優先，可以接受深圳、香港兩地辦公者優先。

Job responsibilities: 

1. Responsible for preparing and planning the company's application for SFC license or acquisition materials in Hong Kong and risk control; able to maintain communication and contact with SFC in time; 

2. Responsible for the connection of the company's related business at home and abroad, coordinating various relations related to the project, and assisting the relevant person in charge of the company to carry out business in Hong Kong; 

3. Can provide unit trust fund placement and underwriting securities buying and selling services, can provide clients with fund management, securities and futures contract investment management services in the form of discretionary; 

4. Manage daily operations and trading activities to ensure full compliance with the company's internal risk controls and applicable laws and regulations of the SFC; 

5. To liaise with the SFC, HKEX and other regulatory authorities on matters relating to regulatory activities; 

6. According to the company's strategic deployment, organize the implementation of specific work and complete the work content; 

7. Conduct regular compliance tests to provide efficient solutions for business compliance and risk control; 

8. Responsible for drafting the department manual of business compliance; 

9. Complete other tasks assigned by the leader. 

Qualifications: 

1. Bachelor degree or above, finance, economics, accounting, management, law and other related professional preferred; 

2. Meet the work experience requirements of SFC 1 or 9 license holders, if you have 1 or 9 license conditions are preferred, and have experience in the whole process of applying for or acquiring 1 or 9 license; 

3. Have more than 3 years of working experience in Hong Kong and Mainland financial licensed institutions, and have experience in Hong Kong Securities and Futures Commission No. 1 or No. 9 business in the past, familiar with the mainland and Hong Kong capital market and domestic and foreign securities commission policies and regulations; 

4. Have a good sense of product innovation (including but not limited to transaction structure, risk appetite, resource allocation forms, diversification of financial requirements of supply and demand parties), have subjective initiative, team cooperation ability and independent work ability; 

5. Have good written and oral communication skills in English and Cantonese, Mandarin proficiency is preferred, document writing ability is strong; 

6. Hong Kong identity card holder is preferred, and office holders in Shenzhen and Hong Kong are preferred.