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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