- Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm;
- Prepare the licensing application materials and relevant business plan;
- Act as Responsible Officer to supervise SFC Type 1, 4, 9 regulated activities;
- Formulate and review internal control, operational procedures and policies as required;
- Supervise and manage daily securities brokerage operation for local markets, including the account opening process, account maintenance
and customer services.
- Current holder of SFC unconditional Responsible Officer license for Type 1, Type 4 and Type 9;
- Minimum 3 solid years’ experience acted as R.O.or
passed all Type 1, Type 4 and Type 9 relevant SFC / Exam paper (Paper 1, 6, 7, 8, 12);
- Regulations and guidelines of relevant regulatory authorities and risk management control;
- Good command of written and spoken English, Chinese and Mandarin;
- Immediate available is highly preferred.
We offer 5-days work, excellent career prospects and fringe benefits to the right candidate. Interested parties
please send your application with full resume stating current and expected salary by clicking "Apply Now".