Responsible Officer/ Senior Manager - Equity Business
Chief Group Limited
Central, Hong Kong
Permanent
Full-time
21 days ago
We are seeking an experienced licensed professional to join our team, responsible for overseas equity business development and regulatory activitiesResponsibilities:Business Development and ManagementFormulating securities business operation plans and strategies to ensure the achievement of business goalsMonitor business operation data, including trading scale, client growth, etc., and conduct regular analysis and reporting to support business decision-makingPromote various securities business activities, such as stock trading, bond trading, and fund sales; coordinate resources across departments and resolve issues encountered during business developmentCompliance and Risk ManagementStrictly comply with relevant laws, regulations, and internal company rules governing the securities industry to ensure operational complianceAssist in risk management to identify potential risks, and propose prevention and recommendationsCooperate with the Compliance Department in conducting compliance inspections and training to enhance the team’s compliance awarenessProcess Optimization and ImprovementAnalyze securities business operation processes to identify issues, and propose optimization and improvement plans to enhance operational efficiencyParticipate in the formulation and refinement of systems to ensure standardized and regulated business practicesTeam CollaborationMaintain good communication with internal department, such as Marketing, Risk, and Finance to jointly promote business developmentAssist in organizing internal team training to improve professional skills and overall capabilitiesRequirements:Bachelor’s degree or above in Finance, Securities, Economics, Accounting, or related disciplinesHolder of SFC Type 1,2,4,9 license; act as the sole RO for Type 1 activities is an advantageMinimum 3-5 years of relevant experiences in securities business operation, with deep knowledge of Hong Kong stocks, U.S. stocks, and U.S. stock optionsFamiliar with securities industry laws, regulations, and supervisory requirementsStrong data analysis skills; proficient in using Excel and other office software for data processing and analysisStrong problem-solving and adaptability skills工作職責:業務推動與管理制定證券業務運營計畫和策略，確保業務目標的實現監控業務運營資料，包括交易規模、客戶增長等，定期進行分析並形成報告，為業務決策提供依據推動各項證券業務的開展，如股票交易、債券交易、基金銷售等，協調各部門資源，解決業務開展過程中的問題合規與風險管理嚴格遵守證券行業相關法律法規和公司內部規章制度，確保業務運營的合規性協助進行風險管理工作，識別業務運營中的風險點，提出防範措施和建議配合合規部門開展合規檢查和培訓工作，提高團隊的合規意識流程優化與改進分析證券業務運營流程，發現存在的問題和不足，提出優化和改進方案，提高運營效率參與制定和完善業務運營相關的制度和流程，確保業務操作的規範化和標準化團隊協作與溝通與公司其他部門，如市場部、風控部、財務部等保持良好的溝通與協作，共同推進業務發展協助組織團隊內部的培訓和學習活動，提升團隊成員的業務能力和綜合素質任職要求:本科及以上學歷，金融、證券、經濟、會計等相關專業優先持有香港證監會第 1、2、4 及 9 類牌照；作為第 1類活動的唯一負責人者將獲優先考慮具有3-5 年以上證券行業業務運營相關工作經驗，熟悉 港股、美股及美股期權 業務流程和運營模式熟悉證券行業相關法律法規和監管要求具備良好的資料分析能力，能夠熟練使用 Excel 等辦公軟體進行資料處理和分析具備問題解決能力和應變能力，能夠及時處理業務運營中的突發問題All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.