- Responsible Officer Type 1, 4, 9
- Director / Senior Management
- Focus on OTC (e.g. TRS / options) products trading
1-30 of 98 jobs
- Responsible Officer (Type 4 & 9)
- Communicate with other brokers
- Prepare and submit FRR
Manager - Intermediaries Supervision, Intermediaries [Ref.:JDB/M/IS/INT/230106]
Securities and Futures Commission- 8 years+ capital markets industry experience
- Detailed knowledge of financial products
- Trading experience in global financial institution
- Knowledge in Securities and Futures Ordinance, FRR
- 8 years of Exp. in Securities/Finance industry
- At least 3 years of Managerial experience
- Reputable & sizeable securities brokerage firm
- Excellent opportunity to enter compliance field
- Exposure to SFC / IA / MPFA rules & regulations
North Point
- Prepare monthly consolidated financial statements
- Degree holder:Accounting, Finance or related field
- At least 4 years relevant experiences
- Execute securities orders
- Licensed with SFC as representative (Type 1 & 2)
- Immediate available is preferred
Manager / Assistant Manager - Intermediaries Supervision (Inspection), Intermediaries
Securities and Futures Commission- policy setting and issuing codes and guidelines
- analysing industry and firm-specific data
- depicting industry trends
- Implement all daily financial operations
- Provide full financial reports
- Prepare and monitor daily and monthly FRR
- Prepare financial reports to mgt & head office
- General Ledger posting & financial closing
- Prepare and compile fax computation packages
- Risk and Compliance operations
- Min. 2 yrs' relevant work experience
- People person, pleasant, meticulous, discipline
- Develop a risk-based compliance review program
- Conduct compliance reviews and on-site visits
- Prepare compliance review reports
- Provide general compliance advisory services
- Assess the impact and conduct gap analysis
- Review & update general compliance policies
Senior Manager, Compliance (SFC regulatory exp prefer/ General Compliance)
Top Executive Talent Engineering- Great promotion and benefits scheme
- Stable, work life balance, expanding office
- Stepping stone towards Wealth Management/ PB
Assistant Vice President, Derivatives Operations (Futures, Options, Stock Options Settlement)
China Everbright Securities International Company Limited- Settlement on Futures, Options, stock options
- Team supervisor role
- Less experience considered as 'Senior Associate'
- Act as a RO to supervise SFC Type 4 & 9
- Communicate with other brokers
- Prepare and submit FRR
Manager - Intermediaries Supervision, Intermediaries [Ref.:JDB/M/IS/INT/230106]
Securities and Futures Commission- 8 years+ capital markets industry experience
- Detailed knowledge of financial products
- Trading experience in global financial institution
- Entry role to join the financial field
- Exposure to variety of global investment products
- Challenging job in the fast changing market
- Minimum 5 years relevant experience
- Knowledge in property services regulations
- Degree in Business, Risk Management, Law
- Dealing, customer service and operations
- Integrated financial firm focusing in HNW business
- Holder of SFC Type 1 license
- 2 years above in security analyst, IT security
- Be familiar with the global industry security
- Knowledge in cloud technology and security
- Provide quality and professional customer services
- Handle clients’ enquiries
- Order placing for clients
Finance Manager
Company Confidential- 3-6 years of experience
- Prior FIG/Fund accounting
- Mandarin must be proficient
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