RESPONSIBLE OFFICER - TYPE 1

Job level Middle
Education Bachelor Degree
Language Chinese - Cantonese, Chinese - Mandarin, English
Location Hong Kong
Employment type Full Time
Industry Others
Job function Banking / Finance > Investment & Securities
Banking / Finance > Others
Published On 13/10/2016
ref. 036124

• Degree holder or above
• Current SFC Type 1 Responsible Officer License holder
• Solid background in local brokerage services and operations
• OTC securities dealing or IFA experience is a plus
• Self-motivated, excellent interpersonal and problem solving skills
• Good command of written and spoken English and Chinese (Cantonese and Mandarin)
• Sound understanding of SFO, regulations and guidelines of relevant regulatory authorities
• Immediate available is an advantage
• Licensed Representative with solid relevant experience (managerial level) will also be considered


Responsibilities :

• Supervise Type 1 regulated activity (dealing in securities) as defined under Securities & Futures Ordinance (SFO)
• Overlook Settlement and Operation Department
• Supervise and manage the daily brokerage operations including margin and credit risk control
• Responsible for OTC operations and placing of securities
• Provide assistance in communicating with SFC, HKEX, and other relevant regulators with Company’s • Legal and Compliance Department
• Provide assistance in the Company’s business development plans
• Maintain proper documentation of all operations, procedures, and risk control policies
• Perform other duties as assigned


Contact:
Jo Cheung - 2627 5211
jo@besteam.com.hk