Responsible Officer (Type 1, 4)

Responsibilities:

• Serve as Responsible Officer for SFC Type 1 and SFC Type 4 regulated activities.
• Take lead on setting up internal control and risk management processes, operations and infrastructure of the regulated business
• Liaise with SFC on related licensed matters
• Oversee business operations including but not limited to trading, settlement, risk control and client service etc;
• Lead end-to-end deal flow and transaction execution across diverse asset classes, including equities, fixed-income and SN.
• Formulate, review and update the operations procedures to ensure compliance with relevant regulatory and reporting requirements;
• Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures;
• Ad-hoc duties assigned by the management.

Requirements:

• Degree in finance or business related
• Minimum of 5 years’ solid experience in a management role, with at least 3 years as a Responsible Officer (Type 1) in the securities industry.
• Strong leadership and communication skills, with the ability to collaborate effectively across all levels of the organization.
• Detail-oriented, analytical, and proactive in problem-solving.
• Ability to multi-task and prioritize multiple work requests and perform well under pressure
• Good command in spoken & written English and Chinese