Responsible Officer (Securities Operations & Dealing) – Type 1 & Type 4
Core
Act as the Responsible Officer to supervise SFC Regulated Activities Type 1 and Type 4, managing overall securities dealing, settlement, and operations.
Role type
Responsible Officer (Securities Operations & Dealing)
Builds
Securities dealing, settlement, and operations workflows
Domain
Financial Services / Securities
Required skills
Securities settlement, operational procedures, trading systems, risk management, compliance, regulatory standards, account opening (CDD), transactions monitoring, middle office operations
Preferred skills
Formulating operational manuals, conducting risk assessments, preparing management reports
Technologies
Trading systems
Responsibilities
Supervise SFC Regulated Activities Type 1 and Type 4, manage securities dealing and settlement, ensure compliance with internal policies and SFC regulations, formulate and update operational manuals, conduct regular reviews and risk assessments, maintain communication with key service providers, prepare management reports
Seniority
Senior, management role