Responsible Officer (Type 1 & 4 Regulated Activities)

Company Background:

Our client is a Hong Kong Licensed Corporation holding Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) licenses.

Job Overview:

You will be responsible for leading and managing the team and business operations for our Type 1 (Dealing in Securities) and Type 4 (Advising on Securities) regulated activities. This role requires a deep understanding of the securities trading market and the ability to efficiently manage the associated compliance and operational processes.

Key Responsibilities:

• Oversee the daily operations of the securities trading business, ensuring all activities comply with SFC regulations.

• Develop in-depth familiarity with the operation, management, and optimization of trading systems.

• Oversee specialized trading businesses including Dark Pool trading, Pre-market and After-hours trading, New Share Subscriptions ("IPO subscriptions"), and CD trading.

• Gain an in-depth understanding of the operations and trading mechanisms of the Pre-IPO and IPO markets.

• Assist in formulating trading strategies and risk management measures.

• Collaborate closely with front-line, middle-office, back-office, and compliance teams to ensure smooth business processes.

• Familiarity with various AI tools; basic programming knowledge is a plus.

Requirements:

• Holds the recognized Responsible Officer qualification from the SFC for Type 1 and Type 4 regulated activities.

• Possesses several years of relevant industry experience with practical exposure to the aforementioned trading products and operations.

• Familiar with Hong Kong securities market rules and compliance requirements.

• Excellent leadership skills, problem-solving abilities, and risk awareness.

• Able to adapt to the fast-paced environment of an SME and efficiently complete projects within tight schedules.

We Offer:

• Competitive salary and benefits package;

• A broad platform for career development;

• Opportunity to collaborate with a top-tier professional team in the capital markets.

Interested parties please send your resume tohr@mingnav.comwith the email subject "Responsible Officer - Type 1,4 Regulated Activities". All information provided will be used for recruitment purposes only.