Our client, a company of SFC Type 1 regulated activities is now seeking for Responsible Officer

Responsibilities:

• Act as Responsible Officer to supervise SFC Type 1 regulated activities;
• Supervise and manage daily securities brokerage operations, including the account opening process, account maintenance and customer services;
• Monitor internet trades to ensure their compliance with internal guidelines and exchange regulations;
• Lead deal flows and execute transactions, including IPOs Placements and underwriting;
• Provide support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management;
• Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures;
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control.

Requirements:

• University graduates in business related disciplines
• Minimum 5 years solid experience in securities dealing with minimum 2 years in a management role
• Good team player and interpersonal skills
• On time to work and attention to details a must
• Good command of English and Chinese (Mandarin & Cantonese)