Responsible Officer

RESPONSIBLE OFFICER (TYPE 1, 4 & 9)

Responsibilities:

• Act as Responsible Officer to supervise SFC Type 1, 4 and Type 9 regulated activities;
• Formulate, review and update the operations procedures to ensure full regulatory compliance;
• Oversight of brokerage operations, internal portfolio management and risk management system;
• Monitor business and financial performance against business plan and ensure regular reporting;
• Sound knowledge of brokerage operation; experience on fund operation is a plus;
• Provide support and assist senior management on business development and marketing plan;
• Handle ad hoc projects and assignments.

Requirements:

• Degree holder in Economics, Finance or Business related disciplines;
• Solid understanding of SFO, Code of Conduct, regulations and guidelines;
• Previous experience in brokerage operation, margin financing, placing, underwriting etc;
• Currently licensed as Responsible Officer (sole);
• Good command of written and spoken English, Chinese and Mandarin;
• Proficient in the use of PC applications especially in Excel is a MUST;
• Solid understanding of FRR & reporting obligations.