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SFC-Licensed (R.O.) Responsible Officer (Type 1 & 2)
Responsibilities::
  • Supervise and monitor day-to-day operations, including all SFC regulated activities, margin and credit 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 Settlement and Operational Department;
  • 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;
  • Perform other duties as assigned 

Requirements :
  • Immediate available is highly preferred;
  • Current SFC Type 1 & 2 R.O. License holder with minimum 2 - 3 years of supervisory experience in brokerage firm is highly preferred (Well experienced representative who is qualified to be applied for the R.O. will also be considered);
  • Solid knowledge of Trading systems (e.g. iAsia system and Sharp Point system);
  • Experience and understanding of Front-end Trading (both Securities and Futures) operation and control;
  • Experience and understanding of Middle and Back office operation (including Clearing and settlement of CCASS & DCASS; FRR report review and Liquid capital calculation);
  • Good knowledge of SFC ordinance, regulations and guidelines of relevant regulatory bodies, e.g. SFC and HKEx;
  • Knowledge and trading experience in Global Futures and US Stock would be definitely advantages
* Data collected will be used for recruitment purpose only.
**Personal Information Collection Statement Pertaining to Employment
It is our policy to retain the personal data of unsuccessful applicants for future recruitment purposes for a period of six months. Thereafter, such personal data will be destroyed. Under the Personal Data (Privacy) Ordinance, you have the rights to request access to, and to request correction of, your personal data in relation to your application. If you wish to exercise these rights, please contact: Room 506, 5/F, New East Ocean Centre, 9 Science Museum Road, TST East, Kowloon, Hong Kong