Regal Executives, a market leader in Executive Search and Recruit Solutions industry, providing best-in-class talent acquisition and human resources management services focusing on the Banking and Finance sector. Regal is currently the search arm of Multi-National Banks and Financial Institutes, covering...

Regal Executives, a market leader in Executive Search and Recruit Solutions industry, providing best-in-class talent acquisition and human resources management services focusing on the Banking and Finance sector.

Regal is currently the search arm of Multi-National Banks and Financial Institutes, covering Asset Management, Brokerage, Corporate Finance, Corporate Banking, Wealth Management, Private Banking, Insurance and Financing.

Responsible Officer (Type 1 , 2, 4, 5)

Job level Middle
Work exp No work experience
Education Not applicable
Language Chinese - Cantonese, English
Location
Central
Employment type Full Time
Benefits 5-day week, Paid overtime, Performance bonus
Industry Financial Services
Job function Banking / Finance > Dealing / Trading
Banking / Finance > General / Operations
Banking / Finance > Private Equity / Venture Capital
Published On 26/01/2018

Our clients, a top-tier listed PRC firm (SFC Type 1, 2, 4, 5, 9 license), are looking for Responsible Officers to join their elite team.

Responsibilities:

  • Act as Responsible Officer to supervise SFC Type 1/2/4/5 regulated activities
  • Supervise and manage daily securities brokerage operations for local and oversea markets, monitoring the daily operations in dealing activities, the account opening process, account maintenance and customer services
  • Provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
  • Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures
  • Perform other ad-hoc projects and assignments as require

 

Requirements:

  • Minimum 3 years’ experience in brokerage house or similar
  • Possess relevant qualifications to register with SFC as Responsible Officer for Type 1/2/4/5 regulated activities (currently a Type 1/2/4/5 RO is preferred by not necessary)
  • Experience in overseeing the overall operation of the brokerage business is preferred
  • Sound understanding of SFC, regulations and guidelines of relevant regulatory authorities and risk management control
  • Good communication skills in written English and fluent Cantonese and Putonghua