Settlement Specialist

Responsibilities:

1. Supervision and Oversight - Actively supervise the day-to-day conduct of the firms Type 1 regulated activity and supervise all licensed representatives (LRs) engaged in Type 1 activity under the firms license. Ensure that all supervised staff are fit and proper, adequately trained, and possess the necessary qualifications and knowledge to perform their duties. Identify, assess, and manage risks associated with the firms securities business, including market, credit, operational, and reputational risks.

2. Compliance and Control - Ensure the firms full compliance with the SFO, its subsidiary regulations, SFCs Code of Conduct, and all other applicable guidelines (e.g., AML/CFT guidelines) and develop, implement, and maintain robust internal control systems, compliance manuals, and operational procedures. Conduct regular internal reviews and audits to monitor compliance effectiveness and identify any gaps or breaches. Establish procedures for and oversee the handling of client complaints related to Type 1 activities.

3. Business and Operational Management - Oversee the operational aspects of the securities business to ensure efficiency and integrity. Work with finance to ensure accurate client asset segregation (a critical SFC requirement), proper reconciliation, and financial stability. Review and approve new business initiatives, product offerings, and marketing materials from a regulatory and compliance perspective.

4. Regulatory Liaison and Reporting - serve as the official liaison between the licensed corporation and the SFC and promptly report any material regulatory breaches, misconduct of staff, or other reportable events to the SFC as required by law. Ensure all required regulatory filings and financial statements are submitted to the SFC accurately and on time.

Requirements:

1. Bachelor degree or above with 3 to 5 years of relevant industry experience in dealing in securities (Type 1 activity) and experience in a managerial or supervisory capacity.

2. Thorough understanding of Hong Kongs securities laws, the SFO, and the SFCs Code of Conduct.

3. Proficiency in English and Chinese is required.

4. A clean disciplinary record with no history of dishonesty or financial misconduct

5. energetic and analytical, result-driven attidue

Information :

• Company : Lite Pay Company Limited
• Position : Settlement Specialist
• Location : Wan Chai, Hong Kong Island
• Country : HK