Responsible Officer - Type 3 Levera...
Besteam Personnel Consultancy Limited
Kowloon
6天前

Current SFC Type 3 R.O. License holder with 3 years of supervisory experience

Solid knowledge of Leveraged Foreign Exchange trading systems

Experience and understanding of Front-end Trading operation and control

Experience and understanding of Middle and Back office operation of Leveraged Foreign Exchange

Good knowledge of SFC ordinance, regulations and guidelines of relevant regulatory bodies

Previous experience in obtaining new license for Type 3 Leverage Foreign Exchange a definite advantage

Responsibilities :

Supervise and monitor day-to-day operations, including all SFC regulated activities, margin risk control, to ensure all activities comply with HKSFC rules, regulations and regulatory compliance

Review and update the operational and internal control procedures

Prepare and maintain a proper documentation of operational policies and procedures

Oversee overall operations of Leveraged Foreign Exchange

Review financial reporting that complies with SFO

Handle matters of compliance cases and complaints

Provide support and assist senior management in business development and market plans

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