JobsDB – Hong Kong's no. 1 jobs, employment, career and recruitment site JobsDB Login For employers Job search Profile Career advice Search Jobs Responsible Officer Type 6 uSMART Securities Limited Sheung Wan Posted on 16-Nov-23 Apply Now Responsible Officer Type 6 uSMART Securities Limited Apply Now Job Highlights Rapidly expanding Fintech company in HK, SG & CN Applying for the company license of SFC Type 6 RO and MIC of Type 6 regulated activities Job Description Job Responsibilities: Assist in applying for the company license of SFC Type 6 regulated activities Act as Responsible Officer and Manager-In-Charge with management responsibilities and duties to supervise SFC Type 6 regulated activities Responsible for sourcing and assessing potential deals, developing new business & marketing plan Manage daily operations of the department to ensure full regulatory compliance and liaise with external bodies e.g. SFC, HKEX when necessary Lead key aspects of dialogues with regulators, investors and other professional parties and the overall transaction process including due diligence, financial analysis, and handling deal and process-related requests between internal & external stakeholders Handle any ad hoc projects assigned by senior management Job Requirements: Bachelor degree in Business, Economics, Finance or related discipline A Type 6 RO licensed with SFC (without Non Sole condition) currently or has sufficient Type 6 regulated activities experience for becoming a Type 6 RO in accordance with SFC competence guideline Eligible for engaging in sponsor work At least 5 years solid experience in Corporate Finance and Finance Transaction activities Rich management experience in SFC licensed firms with solid knowledge of operation, compliance and risk management; Sound knowledge of SFO, regulations, codes and guidelines Good command in both spoken and written English and Chinese (Putonghua and Cantonese) We offer attractive remuneration package to the right candidates. Interested parties please send your current and expected salary by email. Data collected will be used for recruitment purpose only. Additional Information Career Level Senior Qualification Degree Years of Experience 5 years Job Type Full Time, Permanent Job Functions Banking / Finance , Corporate Finance , Financial Services Company Overview uSMART 盈立 證券是香港新一代互聯網券商，通過技術創新和人工智能科技為投資者提供簡單，專業和低成本的全球投資服務。 uSMART盈立 證券是香港持牌券商（中央編號： BJA907 ），持有香港證監會授予的 1 、 4 、 9 號牌照，是香港證監會認可的全牌照優質券商，致力遵循香港金融法規保障投資者資產安全。 uSMART 盈立 證券的核心管理及金融科技團隊成員來自世界知名科技企業巨頭和知名金融機構，包括騰訊、阿里巴巴、微軟、雅虎、優步、法国巴黎银行、瑞士银行等。  uSMART盈立 證券結合自身領先的人工智能和機器學習演算法为用户開發新一代移動證券交易 APP (uSMART 盈立 智投 ) ，進一步優化投資者買賣證券的體驗，為投資者爭取獲得更佳回報機會。 ---------------------------------------------------------------------------------------------------------------------------- uSMART Securities is a new generation of Internet brokers in Hong Kong that provides investors with simple, professional and low-cost global investment services through technologicalinnovation and artificial intelligence technology. uSMART Securities (CE no. BJA907) is licensed under The Securities and Futures Ordinance (Chapter 571), and allowed to carry on Type 1, Type 4 and Type 9 regulated activities. Weare committed to complying with Financial Services Compliance to safeguard investor asset and to provide excellent service. uSMART Securities' core management and financial technology team members come from world-renowned technology giants and well-known financialinstitutions, including Tencent, Alibaba, Microsoft, Yahoo, Uber, BNP Paribas, Swiss Bank, etc. uSMART Securities combines its leading artificial intelligence and machine learning algorithms to develop a new generation of mobile securities trading APP (uSMART)for investors, further optimizing the users’ experience of securities trading and help seek for better returns. Additional Company Information Industry Financial Services Benefits & Others Medical insurance, Performance bonus, Five-day work week More jobs from this employer Report this job ad Job seekers Browse jobs Post resumes Job alerts Profile Career insights Employers Post a job ad Search candidates Advertise with us Best companies About JobsDB About us Career@SEEK Asia (JobsDB) Contact Contact us FAQ Hong Kong Privacy policy Terms & conditions Copyright © 1998-2023, JobsDB
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