Job - SFC-Licensed (R.O.) Responsible Officer (Type 1 & 2), Hantec Securities Co., Ltd
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Hantec Securities Co., Ltd

Hantec Securities Co., Ltd is a well-established securities brokerage firm in Hong Kong. To cope with our business expansion, we invite high caliber candidates to join us for the following position:

SFC-Licensed (R.O.) Responsible Officer (Type 1 & 2)

Job Ref.CT3108048-01#0002

Responsibilities:

  • Supervise and monitor day-to-day operations, including all SFC regulated activities, margin and credit risk control, to ensure all activities comply with SFC 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. Ayers 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; 

Attractive remuneration package will be offered to the right candidate. If interested, please send your CV and expected salary to : jimmyng@hantec.hk and kenlaw@hantec.hk

Apply Now
Job Ref No.
CT3108048-01#0002
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