Responsible Officer

Job level Middle
Education
Location Hong Kong
Employment type Full Time
Industry Others
Job function Legal / Professional Services > Legal & Compliance
Banking / Finance > Others
Banking / Finance > Operations
Published On 18/11/2016
Salary (HKD) Max. $80,000
ref. 035733

• Got license Type 1, 9 and know more about Margin Financing.


Responsibilities:
• Take full responsibilities in applying SFC Type 9 license for the company, preparing documents, and setting up process, operations and infrastructure of the firm
• Act as SFC Type 9 Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm, manage daily operations to ensure full regulatory compliance and comply with all applicable laws, rules and regulations and standard of good market practices
• Supervise and manage daily future brokerage operations
• Formulate, review and update the operations procedures to ensure full regulatory compliance
• Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm
• Other ad hoc duties relating to SFC requirements

Contact:
Min Kwong - 26275232
min@besteam.com.hk