Posted on 2021-02-16
Responsible Officer ( Type 1,4 & 9 )
Responsibilities:
- Act as a Responsible Officer to supervise Type 1, 4 & 9 regulated activities in compliance with SFC regulations;
- Formulate, review and update the operational procedures to ensure full regulatory compliance;
- Supervise and manage daily securities brokerage operation and stock dealing activities, account opening process and customer services;
- Provide advice and support to management on strategic activities and daily operations; and
- Perform other ad-hoc projects and assignments as required.
Requirements:
- Degree holder in Finance, Economics or a business-related discipline;
- Licensed SFC Responsible Officer for Type 1, 4 & 9 regulated activities (without conditions);
- Dealing experiences in local and overseas stock market will be an advantage;
- Solid knowledge in compliance and application of SFC regulations and guidelines;
- Minimum 5-year relevant experience as a Responsible Officer in Type 1, 4 & 9 regulated activities is preferred; and
- Able to work under pressure, with strong leadership and excellent interpersonal skill.
All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.
Required skills
More job information
| Job ref no. | CT3128012-01#4814 |
| Salary | |
| Job Function | |
| Industry | |
| Location |
|
| Employment Term |
|
| Experience |
|
| Benefits |
|
)
Company Overview
Established in 2013, Sinostar Securities Limited is a licensed corporation approved by Securities and Futures Commission in Hong Kong to carry on regulated activity. To cope with the business development and expansion of our company, we are looking for high calibre candidates to join us.