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Responsible Officer Type 1
jobsDB Ref. JHK100003004834213
Our client is a listed chinese based financial institution with full SFC license
- Lead a team of subordinates and manage daily operation standards.
- Supervise type 1 regulated activities as defined by Securities & Futures Ordinance, and ensure all activities are properly documented and compliant with regulatory requirements
- Oversee daily OTC, placing of securities and brokerage operations
- Responsible for managing Settlement and Operation Department
- Work closely, advice and provide information to senior management, Legal and Compliance Department etc.
- Communicate with regulatory bodies including SFC and HKEx
- University degree in Business Administration or a related discipline
- A Minimum 8 years of solid experience in brokerage, securities or financial institution.
- Strong knowledge of SFC regulations and license application requirements
- Excellent communication and influencing skills, plus strong leadership for building a high performing team
- Proficiency in both English and Chinese (including Putonghua)
- SFC Representative type 1 would also be considered.
To apply, please send your CV with expected salary to Ms. Franessa Lam by clicking below "APPLY NOW" button or 8th floor, Prince’s Building, Central, Hong Kong.
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@2016 KPMG Executive Recruitment Limited, a Hong Kong limited liability company and a member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative ("KPMG International"), a Swiss entity. All rights reserved.