Description

1. Act as the Responsible Officer and supervise SFC Regulated Activities Type 1 and Type 4
2. Manage overall securities dealing, settlement, and operations, including:
3. account opening (CDD)
4. transactions monitoring
5. securities settlement
6. middle office operations
7. Ensure all operations comply with internal policies and applicable laws and SFC regulations
8. Formulate, update, and implement operational manuals to meet the latest compliance requirements
9. Conduct regular reviews and risk assessments of daily operations and procedures
10. Maintain communication with key service providers (e.g., brokers and trading system vendors)
11. Prepare management reports for senior management and the head office when required
12. Support other ad-hoc projects as assigned

1. Degree holder or above in Business / Finance / Accounting / Law or a related discipline
2. Eligible to be licensed as an unconditional Type 1 and Type 4 Responsible Officer under the SFC
3. Minimum 6 years of relevant experience in financial institutions, including at least 2 years in a management role
4. Strong knowledge of securities settlement, operational procedures, trading systems, and related SFC requirements, as well as risk, compliance, and regulatory standards
5. Proficient in spoken and written English and Chinese (Cantonese and Mandarin)