Deputy Head of Brokerage (Type 1/2/4/5 regulated activities)
Guosen Securities (HK) Financial Holdings Company, Limited- SFC Type 1/2/4/5
- Responsible Officer
- Minimum 8 years experience
Searches related to responsible officer type 1 jobs
1-30 of 35 jobs
Guosen Securities (HK) Financial Holdings Company, Limited
- Responsible Officer Type 1, 4, 9
- Director / Senior Management
- Focus on OTC (e.g. TRS / options) products trading
- SFC registered RO for license 1, 4 and 9
- Experience in asset management company or securit
- Implement trade execution, fund operation & portfo
- Responsible Officer (Type 4 & 9)
- Communicate with other brokers
- Prepare and submit FRR
Central
- Current holders of unconditional RO preferred
- Current Rep with enough experience considered
- Min 5 years industry experience
- Licensed RO with Insurance Authority
- Insurance agent experiences
- Min. 5 years from insurance agent company
Sheung WanHK$35K - 54,999 /month
- Responsible Officer (Type1 & 4 & 9)
- Sheung Wan
- Monthly salary up to HK$50,000
- Act as a RO to supervise SFC Type 4 & 9
- Communicate with other brokers
- Prepare and submit FRR
- Dealing, customer service and operations
- Integrated financial firm focusing in HNW business
- Holder of SFC Type 1 license
Customer Service Officer (Client On-boarding)
Guosen Securities (HK) Financial Holdings Company, Limited- Client Onboarding
- CDD / KYC / AML
- Type 1 and 2 is highly preferred
Portfolio Manager, Responsible Officer (Type 4 and 9), Equity, Asset Management Department
China Securities (International) Finance Holding Company Limited- Equity Portfolio Manager
- Asset Management
- Responsible Officer (Type 4 and 9)
- Provide professional investment service to clients
- Execute clients' dealing orders
- Assist in branch offices daily operation
Wan Chai
- Responsible Officer (Type 1,2,4,5,6,9)
- Min 3 years' industry experience in regulated act
- Immediate availability
- Rapidly expanding Fintech company in HK, SG & CN
- Applying for the company license of SFC Type 6
- RO and MIC of Type 6 regulated activities
Product Specialist (Licensee Type 1,4 + Due diligence + trade support))
Top Executive Talent Engineering- Stable, work life balance, teamwork
- Great stepping stone to Private Bank area
- Open +cozy management style, gd $$$$$ and benefits
- Holder of Responsible Officer (Insurance)
- Liaison with Insurance Authority
- Supervise daily activities & transactions
- Familiar with SFC covering multi assets
- Familiar with Equities
- Familiar with SFC covering multi assets
- Familiar with Equities
Copyright © 1998-2023, JobsDB
Explore site