About the Role
Reporting to the CEO of the Group, the Operation Director is responsible for supervising the dealing, settlement and CS Teams.
- Act as Responsible Officer to supervise SFC regulated activities
- Supervise daily securities operations, including local and overseas market
- Ensure all business activities comply with SFC rules and guidelines
- Liaise with SFC, HKEX and other regulatory bodies for regulated activities related matters
- Formulate, review and update the operation procedures to ensure full regulatory compliance
- Implement business development and marketing plan
- Participate and handle ad doc operation related projects
Requirements
Degree holder or above in Finance, Banking or related discipline
Minimum 10 years’ relevant experiences in SFC licensed corporations with solid knowledge of operation, compliance and risk management
SFC registered RO for SFC license type 1
Proven experience in managing a sizable support team
Sound knowledge of SFO, SFC Code of Conduct, regulations and guidelines of relevant regulatory authorities and risk management control
Solid understanding about middle and back office operations and risk controls
Good command of both written and spoken in English and Chinese (Cantonese and Mandarin)
Independent with minimal supervision, self-motivated, well-organized, detail oriented, willing and able to work under tight time schedule with strong sense of responsibility
Immediate available is highly preferred
About the employer
Our client is a SFC Licensed Corp (Type 1, 4 & 9) rapidly expanding in Fintech area