RO- Head of Dealing at Green Lake Executive Search

Job Description:

Latest job information from Green Lake Executive Search for the position of RO- Head of Dealing. If the RO- Head of Dealing vacancy in Hong Kong matches your qualifications, please submit your latest application or CV directly through the updated Jobkos job portal.

Please note that applying for a job may not always be easy, as new candidates must meet certain qualifications and requirements set by the company. We hope the career opportunity at Green Lake Executive Search for the position of RO- Head of Dealing below matches your qualifications.

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Responsible Officer (RO 1)- Product Development and Dealing Operation

Key Responsibilities:

• Led end-to-end product development like Stock Borrow-Lending (HK SBL), US stock fractional shares, after-market trading.
• Spearheaded virtual asset (VA) trading, securing SFC license and ensuring compliance for Hong Kong market.
• Act as the named Responsible Officer licensed by the Hong Kong Securities and Futures Commission (SFC), lead the overall management of the company's regulated activities
• Manage a team to perform daily front to end back-office operations
• Develop, implement, and continuously enhance the firm's comprehensive compliance framework, including policies, operation procedures, and controls manuals. Ensure that daily business operations comply with the regulations of SFC and internal compliance requirements
• Participate in business strategic planning and major decision-making, provide professional advice from a compliance and regulatory perspective, balance business development and risk control, and ensure the compliant and steady operation of the business
• Keeping up-to-date with changes in financial regulations and best practices

Job Requirements:

• Bachelor degree holder or above in finance, economics, or business-related fields
• Currently accredited by SFC as unconditional Responsible Officer for Type 1, 2, 4, or Type 1, 4 licenses.
• Minimum of 7 years of relevant experience in the financial services industry. Experience in managing securities and futures dealing business, product development.
• Be familiar with the regulatory framework of the Hong Kong Securities and Futures Commission and business operation procedures. Have a deep understanding of Hong Kong's securities market regulations, compliance requirements and risk controls.
• Strong communication and interpersonal skills, with the ability to effectively liaise with regulatory authorities and internal stakeholders
• A proactive and detail-oriented approach to work, with a commitment to upholding the highest standards of professional conduct

Job Info:

• Company: Green Lake Executive Search
• Position: RO- Head of Dealing
• Work Location: Hong Kong
• Country: HK

How to Submit an Application:

After reading and understanding the criteria and minimum qualification requirements explained in the job information RO- Head of Dealing at the office Hong Kong above, immediately complete the job application files such as a job application letter, CV, photocopy of diploma, transcript, and other supplements as explained above. Submit via the Next Page link below.