Responsible Officer Type 1
Morgan McKinley Hong Kong
Hong Kong, Hong Kong
14天前
source : eFinancialCareers Ltd.

Key Responsibilities :

Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm

Manage daily operations to ensure full regulatory compliance

Comply with all applicable laws, rules and regulations and standard of good market practices

  • Other ad-hoc duties as assigned
  • Requirements :

    Minimum 3 years of solid experience in brokerage

    Current holder of SFC unconditional Responsible Officer license for Type 1 and / OR Type 2

    Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control

    Solid understanding about middle and back office operations, risk controls and investment process of fund management companies

    Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills

    Good command of written & spoken English and Chinese (including Mandarin)

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