Act as a Responsible Officer with management responsibilities and duties to supervise SFC Type 1, 4, 9 regulated activities;
Oversee business operations including but not limited to trading, settlement, risk control, fund management and institutional client service related to fixed income business, bond products, etc;
Lead deal flows and execute transactions, including IPOs Placements and underwriting;
Formulate, review and update the operations procedures to ensure compliance with relevant regulatory and reporting requirements;
Keep abreast of domestic & overseas market information;
Provide constructive advice on business strategies and operations;
Supervise and manage daily securities brokerage operations, including the account opening process, account maintenance and customer services;
Monitor internet trades to ensure their compliance with internal guidelines and exchange regulations;
Provide support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management;
Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures;
Ad-hoc duties assigned by the management.
Requirements:
University graduates in business related disciplines
Existing/ qualified Responsible Officer for SFC Type 1,4,9 regulated activities
At least 5 years of relevant working experience as an RO
Profound knowledge and experience of middle & back office operations related to fixed income business, bond products, etc.
Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities
Good command of written and spoken English and Chinese (Putonghua & Cantonese)
Self-motivated, well organized with excellent interpersonal skills
