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Responsible Officer 1, 2 ( Dealing ) (BB-BCA5D)

Found in: Neuvoo Premium HK

Description:

Responsibilities :

  • Act as a Responsible Officer to supervise SFC Type 1 & 2 regulated activities
  • Supervise the dealer in the Dealing Room to ensure all regulated activities in relation to the dealings in securities
  • Formulate & Review Dealing department’s operations internal controls and procedures
  • Supervise and manage daily operations, including account opening process, accounts’ dealing activities, margin accounts’ risk control and client services


Requirements:

  • Bachelor degree or above
  • Minimum 3 - 5 years relevant experiences as a RO in securities firm
  • Current holder of SFC unconditional Responsible Officer license for Type 1 & 2 regulated activities.
  • Sound knowledge of SFO, SFC codes & guidelines, regulations
  • Ability to work independently, familiar with securities dealing operations
  • Good command of written & English and Chinese ( Mandarin and Cantonese )
  • Immediate availability is highly preferred

calendar_today22 hours ago

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