Key Responsibilities:

To act as Responsible Officer (RA1,2,4,5,9) of the Licensed Corporation
To oversee the overall operation of Regulated Activities Type 1,2,4,5 and 9, in particular
the Futures (RA2,5)activity
To develop, execute and monitor the company's business, objectives and strategies and ensure a sound corporate culture and ethics within the Company
To manage a team to perform the day-to-day front, and back office operation
To explore potential business opportunities in brokerage, placing and underwriting, investment advisory and asset management business.
To formulate and update operation procedures and supervise all staff to ensure full regulatory compliance
To provide trainings to staff members whenever necessary
To oversee daily operation functions for investment funds and discretionary accounts
To formulate strategies and manage trading for the investment portfolios
To work closely with service providers
To communicate with SFC regarding any operational and compliance issue
To comply with all applicable laws, rules and regulations and standard of good market practices
To prepare and review FRR, BRMQ or any other questionnaire and handle enquiries from SFC or any relevant regulatory bodies;
Requirements:

Minimum 5years of solid experience in managing securities and futures dealing business, portfolio management and fund management covering areas: equity, private equity, derivative products and OTC products (such as Futures Options, stock Options, Repo, TRS.) Profound management experience in Futures brokerage operation and risk management is a must.
Current holder of SFC unconditional Responsible Officer license for Type 1,2,4,5,9 regulated activities.
Solid knowledge in financial products, funds or capital investments products;
Sound experience in managing discretionary portfolio or PE fund, ECM
and DCM is a big plus;
Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control;
Well understanding of portfolio construction, strategy development, and performance monitoring and measurement;
Solid understanding about middle and back office operations, risk controls of the regulated activities;
Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills;
Independent with minimal supervision, self-motivated, well-organized, detail oriented with strong sense of responsibility;
Good command of written &spoken English and Chinese (including Mandarin)