- Security brokerage and trading services
- Strong brand power
- Attractive salary package with extra bonus provided
About Our Client:
Our client offers security brokerage and trading services. It also provides investment advisory, margin trading and short selling, securities investment fund distribution, intermediary services for futures companies, financial products distribution, and securities. They provide excellent training and career development potential. They are now looking for a Responsible Officer to join their team.
As a Responsible Officer, you will supervise and monitor day-to-day operations, including all SFC regulated activities, margin and credit risk control, to ensure all activities comply with HKSFC rules, regulations and regulatory compliance. You will review and update the operational and internal control procedures. You will prepare and maintain a proper documentation of operational policies and procedures. You will review financial reporting that complies with SFO. You will handle matters of compliance cases and complaints. You will also have to provide support and assist senior management in business development and market plans.
- Degree holder from finance, business or related discipline
- Current SFC (Type 1 & 2) R.O. License holder with minimum 2 - 3 years of supervisory experience in brokerage firm is highly preferred (Well experienced representative who is qualified to be applied for the R.O. will also be considered)
- Experience and understanding of Front-end Trading (both Securities and Futures) operation and control;
- Experience and understanding of Middle and Back office operation (including Clearing and settlement of CCASS & DCASS; FRR report review and Liquid capital calculation)
- Good knowledge of SFC ordinance, regulations and guidelines of relevant regulatory bodies, e.g. SFC and HKEx
- Knowledge and trading experience in Global Futures and US Stock would be definitely advantages
This is a valuable chance to allow you to become a Responsible Officer in a well-known security brokerage brand. Our client offers an attractive package and numerous supports.
Interested parties could also send your full resume to CV @ robinsonconsultant.com.hk. Successful applicants will be contacted within 2 working days.