Head of Dealing (HKD 150k, RO124+VA)

Responsibilities:

• Manage and supervise the overall operations of regulated activities in categories 1, 2, 4.
• Develop and expand services related to U.S. stock options, OTC derivatives, futures, funds, and virtual assets, while establishing relevant operational processes.
• Handle all engagement, licensing, and compliance matters with the Securities and Futures Commission (SFC) and Hong Kong Stock Exchange (HKEX).
• Submit new license applications for regulated activities and new business areas to the SFC.
• Submit applications for participant qualifications and market data supplier licenses to HKEX.
• Establish, monitor, and review operational oversight measures.
• Supervise and review compliance policies and procedures.
• Monitor, identify, and assess risks related to operations and counterparties.
• Develop and implement business continuity plans.
• Review financial reports submitted to the SFC to ensure timely and accurate submissions.
• Establish anti-money laundering policies and procedures to prevent involvement in money laundering or terrorist financing activities.
• Make decisions regarding the adoption of appropriate front and back office systems and data backup solutions.
• Develop and consider marketing plans, and oversee their implementation.
• Propose business development strategies and enhance mobile application functionalities.

Job Requirements:

• Bachelors degree in Finance, Business Administration, or a related field; Masters degree or relevant professional qualifications preferred.
• Minimum of 10 years of experience in financial services, with at least 5 years in a leadership role.
• Strong knowledge of regulatory frameworks and compliance requirements related to the securities and derivatives markets.
• Proven track record in managing operational risks and implementing effective compliance programs.
• Excellent analytical and problem-solving skills, with the ability to make strategic decisions under pressure.
• Strong communication and interpersonal skills to effectively engage with stakeholders and regulatory bodies.
• Experience in business development and innovative technology solutions in the financial sector.
• Familiarity with anti-money laundering regulations and best practices.