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Responsible Officer Type 2,5
View: 106
Update day: 02-11-2023
Location: Sheung Shui New Territories North Point Hong Kong Island
Category: Finance / Bank / Stock
Industry: Financial Services
Position: Senior
Job type: Full Time, Permanent
Experience: 5 years
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Job content
Job Description
Responsibilities
- Act as a Responsible Officer with management responsibilities and duties to supervise SFC Type 2,5 regulated activities to ensure all the activities and duties comply with the relevant rules and regulations
- Lead and manage the team to handle and improve daily operations and internal policies
- Supervise and manage daily operations, including account opening process, accounts’ dealing activities, margin accounts’ risk control and client services
- Formulate & Review daily operations internal controls and procedures
- Supervise and manage daily operations, including account opening process, accounts’ dealing activities, margin accounts’ risk control and client services
Requirements:
- Bachelor degree or above
- Minimum 3 - 5 years relevant experiences as a RO in futures firm
- Current holder of SFC unconditional Responsible Officer license for Type 2 & 5 regulated activities.
- Sound knowledge of SFO, SFC codes & guidelines, regulations
- Ability to work independently, familiar with futures dealing operations
- Good command of written & English and Chinese ( Mandarin and Cantonese )
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Deadline: 17-12-2023
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