Responsible officer (Type 4&9)

A Hong Kong based financial group with Muti-Family Office and External Asset Manager business is now looking for a high-calibre Responsible Officer to join her company

Responsibilities

• Act as the Responsible Officer with management responsibilities and duties to supervise SFC Type 4 & 9 regulated activities
• Oversee business operations including but not limited to trading, settlement, risk control, and institutional client service etc.
• Lead deal flows and execute transactions
• Formulate, review and update the operations procedures to ensure compliance with relevant regulatory and reporting requirements
• Keep abreast of domestic & overseas market information
• Provide constructive advice on business strategies and operations
• Supervise daily securities brokerage operations, including the account opening process, account maintenance and customer services
• Monitor internet trades to ensure their compliance with internal guidelines and exchange regulations
• Provide support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
• Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures
• Ad-hoc duties assigned by the management.

Requirements:

• Degree in finance, business or related disciplines
• Existing/ qualified Responsible Officer for SFC Type 4,9 regulated activities
• At least 5 years of relevant working experience as a management role
• Profound knowledge and experience of middle & back office operations related to fixed income business, bond products, etc.
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities
• Good command of written and spoken English and Chinese (Putonghua & Cantonese)
• Self-motivated, well organized with excellent interpersonal skills
• Good command of written & spoken English and Chinese. Good communication in Mandarin is highly preferred

Interested parties please send your resume in word format with current & expected salary and notice period to janice@hkjobc.com. For details, please feel free to contact Janice at 6365 3508.