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
