RESPONSIBLE OFFICER - TYPE 1
Besteam Personnel Consultancy Limited
Kowloon
16小时前

Degree holder or above

Current SFC Type 1 Responsible Officer License holder

Solid background in local brokerage services and operations

OTC securities dealing or IFA experience is a plus

Self-motivated, excellent interpersonal and problem solving skills

Good command of written and spoken English and Chinese (Cantonese and Mandarin)

Sound understanding of SFO, regulations and guidelines of relevant regulatory authorities

Immediate available is an advantage

Licensed Representative with solid relevant experience (managerial level) will also be considered

Responsibilities :

Supervise Type 1 regulated activity (dealing in securities) as defined under Securities & Futures Ordinance (SFO)

Overlook Settlement and Operation Department

Supervise and manage the daily brokerage operations including margin and credit risk control

Responsible for OTC operations and placing of securities

Provide assistance in communicating with SFC, HKEX, and other relevant regulators with Company’s Legal and Compliance Department

Provide assistance in the Company’s business development plans

Maintain proper documentation of all operations, procedures, and risk control policies

Perform other duties as assigned

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