• HKD960000 - HKD1200000 per annum
  • Hong Kong
  • Permanent, Full time
  • Selby Jennings Singapore
  • 26 Mar 18

Responsible Officer for type 1+2 or 4+9

  • Location: Hong Kong
  • Salary: HKD960000 - HKD1200000 per annum
  • Job Type: Full time

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Job Responsibilities:
  • Act as Sole Responsible Officer to supervise Type 1 and 2 or type 4 and 9(without any licensing condition) regulated activities
  • Monitor of the daily business operations of Securities and Futures
  • Ensure the workflow comply with SFC rules
  • Supervise in marketing activities and client servicing
  • Manage the sales team to maintain and develop new customers
  • Monitor, execute and supervise dealing team. Manage the daily brokerage operations, new account opening process, and maintenance
  • Ensure record keeping and maintaining proper documentation, including margin control
  • Review daily reconciliation of trading positions and investigate any discrepancies
  • Initiate comprehensive training to all dealers and ensure the team acts professionally at all times
Hong Kong Hong Kong Hong Kong HK