Deputy Manager – Securities and Wealth Product Management (Ref: CO-SWPM)

Responsibilities:

• Support the implementation and regular review of policies, procedures, and operational guidelines to ensure compliance with relevant SFO and regulatory requirements

• Supervising the day-to-day operations of the Department and monitor securities trading activities

• Assist in managing activities related to HKMA/SFC licensing registration for the Bank

• Observing regulatory changes and proposing compliance follow-up actions

• Assist to handle issues in relation to communications with HKMA, SFC and HKEX, co-ordinate necessary responses or actions

• Participate in system enhancement/integration projects and other ad hoc operational initiatives

Requirements:

• Degree holder with minimum of 8 years of experience in the investment industry, of which at least 3 years in a managerial level

• With a strong understanding of the Securities and Futures Ordinance

• Excellent relationship management, communication, interpersonal, and analytical skills

• Experience in handling Careful Discretionary Orders is preferred

• License holder with passes in HKSI Licensing Exam (Paper 1, 7 & 8) or equivalent

• Qualified to act as Responsible Officer to supervise all regulated activities and operations of the RA1 is definite advantage