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Act as Responsible Officer to supervise SFC Type 9 regulated activities;
Responsible for SFC license application, set up operations procedures, guidelines and infrastructure to ensure business runs smooth, in productivity and effectiveness of the Type 9 regulated activities;
Manage daily operations, including account opening process, account maintenance and customer services;
Liaise with internal departments and external parties (such as SFC, HKEX and HKFE...etc.) to ensure all business activities, investment guidelines are complying with related regulations;
Manage and maintain good relationship with both internal and external stakeholders and financial institutions;
Participate in system enhancements, UATs and ad hoc projects; and
Occasionally travel to mainland may be required.
Degree or above in Accounting, Economics, Finance or other related discipline;
At least 5 years' solid experiences in asset management securities firm;
Holder of SFC Type 9 licenses is essential;
Good knowledge of SFC, regulations and guidelines of relevant regulatory authorities and risk managemnt control is essential;
Experienced in margin financing is preferred;
Good team player and capable of working in a fast-paced environment;
Good interpersonal, presentation and communication skills, independent & strong sense of responsibility;
Good command of both spoken and written English and Chinese, and fluency in Putonghua is a must;
Proficient in PC knowledge such as Word, Excel, Outlook, PowerPoint; Chinese word processing is essential;