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COO/ RO/ OMO - MD (RO 1)

Green Lake Executive Search Co. Limited Hong Kong
Full time Permanent On-site competitive

About the job

某中资券商急聘COO/ RO/ OMO，D-MD职级，Base HK

要求：10年以上券商交易部运作和券商管理经验，包括港股美股买卖，拥有SFC RO 1号牌，有过管理经验，主要负责对公业务，感兴趣请联系Katherine ***微信号：Katherine_Shiu

欢迎转发与自荐！

COO/ RO/ OMO - MD(RO 1)

Responsibilities:

  1. Act as a Responsible Officer (RO) with the SFC for Type 1 and 4.
  2. Act as the OMO MIC of core functions
  3. Support the formulation of development strategies for the Group and each business segment
  4. Oversee the day-to-day operational management of all business segments, enhance operational quality and efficiency, and drive the achievement of the Group’s strategic and business objectives;
  5. Manage and supervise the overall dealing activities, customer service, middle office and settlement.
  6. Manage services related to HK and U.S. stock trading, while establishing relevant operational processes.
  7. Handle all engagement, licensing, and compliance matters with the Securities and Futures Commission (SFC) and Hong Kong Stock Exchange (HKEX).
  8. Submit new license applications for regulated activities and new business areas to the SFC.
  9. Establish, monitor, and review operational oversight measures.
  10. Supervise and review compliance policies and procedures.
  11. Monitor, identify, and assess risks related to operations and counterparties.
  12. Develop and implement business continuity plans.

Job Requirements:

  1. Bachelor’s degree in Finance, Business Administration, or a related field; Master’s degree or relevant professional qualifications preferred.
  2. Minimum of 10 years of experience in financial services, with at least 3 years in a leadership role.
  3. ⁠ ⁠Current SFC Type 1 unconditional RO status
  4. Strong knowledge of regulatory frameworks and compliance requirements related to the securities and derivatives markets.
  5. Proven track record in managing operational risks and implementing effective compliance programs.
  6. Excellent analytical and problem-solving skills, with the ability to make strategic decisions under pressure.
  7. Strong communication and interpersonal skills to effectively engage with stakeholders and regulatory bodies.
  8. Good command of written and spoken English and Chinese with fluency in Mandarin