comScoreTag Part time Job - Responsible Officer Type 1 & 2 and/or Type 4 & 9 (Full time or Flexible-hour), FHLHK
FancyBox
FHLHK

A well-established financial company is undergoing dynamic growth in expanding its comprehensive financial products offerings and services, which include securities / futures brokerage, asset management, investment advisory and research.

Responsible Officer Type 1 & 2 and/or Type 4 & 9 (Full time or Flexible-hour)

Job Ref.CT3112769-01#0019

Job Responsibilities :

  • Ensure daily operations in compliance with the rules and regulations of the SFO as a Type 1 and 2 responsible officer
  • Oversee account opening and daily dealing operations
  • Formulate and update internal procedures to enhance the business productivity and effectiveness
  • Participate in financial product marketing, research and client servicing
  • Liaise with the regulators such as the SFC, etc in Type 1 & 2 regulated activities
  • Supervise Type 4 & 9 daily operations & SFC regulated activities in compliance with the rules and regulations of the SFC
  • Liaise with the regulators such as the SFC, etc in Type 4 & 9 regulated activities
  • Formulate and improve the operational manual to ensure the workflow is smooth and efficient
  • Responsible for strategic planning, staff management, business development and reporting to senior management
  • Participate in new product development, such as project due diligence, making investment decisions, coordination of service providers, etc
  • Participate in setting up PE funds such as SPC, GP/LP, etc
  • Participate in conducting daily fund management
  • Participate in conducting marketing events

 

Job Requirements :

  • Possess relevant qualifications to register with the SFC as Type 1 & 2 RO
  • Sound knowledge of SFO and experience in securities and futures contracts dealing
  • Familiar with middle and back office operation including FRR report review, liquid capital calculation, settlement procedures and trading platforms is an advantage
  • Minimum of 3-year of solid experience in Type 1 & 2 RA with proven records
  • Possess relevant qualifications to register with the SFC as Type 4 & 9 RO
  • Sound knowledge of SFO and experience in asset management
  • Sole RO for Type 4 & 9 is preferable, non-sole RO for Type 4 & 9 is also considerable
  • Minimum of 3-year of solid experience in Type 4 & 9 RA with proven records
  • Familiar with managing PE funds such as SPC, GP/LP is an advantage
  • Good communication skills in both spoken and written English and Chinese

We have both full-time RO and flexible-hour RO opportunities for the right candidate.

The company will offer 5-days work with attractive remuneration packages to the right candidate.

Interested parties may contact us at 2153 7234 for inquiry.

The information provided will be treated in strict confidence and will be used for recruitment purpose only.


 

Apply Now
Job Ref No.
CT3112769-01#0019
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