Assistant Manager

Responsibilities:

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

Take an active, hands-on approach in supervising and executing 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

Drive and participate directly in system enhancement/integration projects and other ad hoc operational initiatives

Requirements:

Degree holder with minimum of 5 years of experience in the investment industry, of which at least 2 years in a managerial level

Strong willingness and capability for a hands-on operational role, balancing strategic oversight with direct execution of daily tasks

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