Responsible Officer (Type 1 & 4)


Job ref.:

11 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 & 4 regulated activities in compliance with regulations

  • Responsible for daily operation including dealing, settlement, accounts, margin financing, risk management and customer service, etc.

  • Monitor the discretionary account's position, trading and fund in out records

  • Ensure the compliance of all applicable laws, rules and regulations, including the proper documentation of all operations, policies and procedures

What skills/qualification will you need?

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

  • Licensed for SFC Type 1 & 4 regulated activity as Responsible Officer

  • At least 3 years of relevant experience

  • Previous working experience in ECM deal flows will be an advantage

  • Excellent communication skills with strong command of English, Cantonese and English

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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