COO or Head of Operation

Chief Operation Officer, Licensed Corporation

A full Licensed Corporation with RA1, 2, 4, 5 & 9, together with EAM (External Asset Management) business & Insurance Broker, is looking for a COO to oversee all the operation of her business platforms.

Responsibilities

• As a Responsible Officer to supervise SFC Type 1, 2, 4, 5 & 9 regulated activities;

• Work closely with the Board of Directors to develop the strategic plan;

• Oversee the compliance functions of the Company and take necessary actions to ensure all business activities comply with SFC rules and company guideline;

• Provide advice in the establishment of the whole company and be responsible of a core function(s) of MIC;

• Review existing strategies, propositions and tactical plans and monitor the implementation of key strategic projects;

• Help set up internal control system including the internal control manual for SFC and help manage risk management policies;

• Oversee overall business operations including but not limited to trading, settlement, risk control and client service related to securities, bonds, structured products, fund, etc.;

• Supervise and manage daily securities brokerage operations, including the account opening process, account maintenance and customer services;

• Monitor internet trades to ensure their compliance with internal guidelines and exchange regulations;

Requirements

• Minimum 10 years of solid experience in dealings of securities and futures and asset management;

• Current holder of SFC unconditional Responsible Officer license for Types 1,2,4,5 & 9 regulated activities preferred;

• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities(such as SFC and HKEX) and risk management control;

• Solid understanding about middle and back office operations, risk controls and investment process of fund management companies;

• Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills;

• Good command of written & spoken English and Chinese (including Mandarin):

• Candidates with less experience will be considered as Head of Operation.

Interested parties please send your resume in word format with current & expected salary and notice period to kkwong@hkjobc.com. For details, please feel free to contact KK Wong at 6165 8486.