Head of Dealing- D/ED (RO 1, Prefer VA)

TOP知名中资券商急聘交易主管Trading Head/ RO，D-ED职级，Base HK 要求：10年以上券商交易部运作经验，包括港股美股买卖，拥有SFC RO 1号牌，有过管理经验，主要对接零售客户, 有2号牌RO和VA经验更好，感兴趣请联系Katherine ***微信号：Katherine_Shiu 欢迎转发与自荐！ Head of Dealing- D/ED (RO 1, Prefer VA) Responsibilities: Manage and supervise the overall dealing activities. Manage services related to HK and U.S. stock trading, while establishing relevant operational processes. Handle all engagement, licensing, and compliance matters with the Securities and Futures Commission (SFC) and Hong Kong

Green Lake Executive Search Co. Limited - Hong Kong - Full time

Salary: 80000-100000

TOP知名中资券商急聘交易主管Trading Head/ RO，D-ED职级，Base HK

要求：10年以上券商交易部运作经验，包括港股美股买卖，拥有SFC RO 1号牌，有过管理经验，主要对接零售客户, 有2号牌RO和VA经验更好，感兴趣请联系Katherine ***微信号：Katherine_Shiu

欢迎转发与自荐！

Head of Dealing- D/ED (RO 1, Prefer VA)

Responsibilities:

    • Manage and supervise the overall dealing activities.
    • Manage services related to HK and U.S. stock trading, 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.
    • 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 3 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.
    • Good command of written and spoken English and Chinese with fluency in Mandarin
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