Responsible Officer （RO 1）- Product Development and Dealing Operation

某券商招聘RO , 負責Dealing和产品, base HK，感兴趣请联系Katherine ***微信号：Katherine_Shiu，欢迎转发自荐 Responsible Officer （RO 1）- Product Development and Dealing Operation Key Responsibilities: Led end-to-end product development like Stock Borrow-Lending (HK SBL), US stock fractional shares, after-market trading. Spearheaded virtual asset (VA) trading, securing SFC license and ensuring compliance for Hong Kong market. Act as the named Responsible Officer licensed by the Hong Kong Securities and Futures Commission (SFC),

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

Salary: 50000-80000

某券商招聘RO , 負責Dealing和产品, base HK，感兴趣请联系Katherine ***微信号：Katherine_Shiu，欢迎转发自荐

Responsible Officer （RO 1）- Product Development and Dealing Operation

Key Responsibilities:

    • Led end-to-end product development like Stock Borrow-Lending (HK SBL), US stock fractional shares, after-market trading.
    • Spearheaded virtual asset (VA) trading, securing SFC license and ensuring compliance for Hong Kong market.
    • Act as the named Responsible Officer licensed by the Hong Kong Securities and Futures Commission (SFC), lead the overall management of the company's regulated activities
    • Manage a team to perform daily front to end back-office operations
    • Develop, implement, and continuously enhance the firms comprehensive compliance framework, including policies, operation procedures, and controls manuals. Ensure that daily business operations comply with the regulations of SFC and internal compliance requirements
    • Participate in business strategic planning and major decision-making, provide professional advice from a compliance and regulatory perspective, balance business development and risk control, and ensure the compliant and steady operation of the business
    • Keeping up-to-date with changes in financial regulations and best practices

Job Requirements:

    • Bachelor degree holder or above in finance, economics, or business-related fields
    • Currently accredited by SFC as unconditional Responsible Officer for Type 1, 2, 4, or Type 1, 4 licenses.
    • Minimum of 7 years of relevant experience in the financial services industry. Experience in managing securities and futures dealing business, product development.
    • Be familiar with the regulatory framework of the Hong Kong Securities and Futures Commission and business operation procedures. Have a deep understanding of Hong Kong's securities market regulations, compliance requirements and risk controls.
    • Strong communication and interpersonal skills, with the ability to effectively liaise with regulatory authorities and internal stakeholders
    • A proactive and detail-oriented approach to work, with a commitment to upholding the highest standards of professional conduct

Apply
23438343
Ad