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), 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 firm’s 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