Responsible Officer (Type 1 & 2)


Job ref.:

17 Mar 2021


Hong Kong




The client:

· A well-known and reputable securities company

What can the client offer?

· Valuable working experience in a sizable organization and leading edge projects

· Attractive benefit package

What are your responsibilities?

· Act as Responsible Officer to supervise and manage SFC Type 1 & 2 regulated activities in compliance with regulations

· Responsible for writing, reviewing and maintaining proper documentation of all operations, policies and procedures

· Supervise and manage daily operations, including account opening process, accounts’ trading activities, margin accounts’ risk control and client services

· Manage and implement the order execution team and customer service team for the Company in relation of securities and futures business

What skills/qualification will you need?

· Degree holder in Economics, Finance, Accounting or any relevant disciplines

· Current unconditional SFC Type 1 & 2 R.O. license holder

· Minimum 3 years of supervisory experience in brokerage firm is highly preferred

· Excellent communication skills with strong command of English, Cantonese and Mandarin

Who would be suitable for the position?

· Able to handle multiple tasks and meet tight deadlines

· Strong analytical, problem solving and people management skills

Apply here

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