入職機會 (僅提供英文版)

Responsibilities:

• Support the implementation and regular review of policies, procedures, and operational guidelines to ensure compliance with relevant SFO and regulatory requirements
• Take an active, hands-on approach in supervising and executing the day-to-day operations of the Department and monitor securities trading activities
• Assist in managing activities related to HKMA/SFC licensing registration for the Bank
• Observing regulatory changes and proposing compliance follow-up actions
• Assist to handle issues in relation to communications with HKMA, SFC and HKEX, co-ordinate necessary responses or actions
• Drive and participate directly in system enhancement/integration projects and other ad hoc operational initiatives

Requirements:

• Degree holder with minimum of 5 years of experience in the investment industry, of which at least 2 years in a managerial level
• Strong willingness and capability for a hands-on operational role, balancing strategic oversight with direct execution of daily tasks
• With a strong understanding of the Securities and Futures Ordinance
• Excellent relationship management, communication, interpersonal, and analytical skills
• Experience in handling Careful Discretionary Orders is preferred
• License holder with passes in HKSI Licensing Exam (Paper 1, 7 & 8) or equivalent
• Qualified to act as Responsible Officer to supervise all regulated activities and operations of the RA1 is definite advantage