Responsible Officer
4 days ago
香港證監會持牌證券公司普倫國際證券有限公司及普倫國際資產管理有限公司現誠聘一名經驗豐富的負責人員加入到我們的團隊。主要負責監理公司第1、4及9類受規管活動，確保符合相關法規要求，管理風險，並維持高度的誠信與專業標準。 Main Responsibilities 主要职责： Serve as the responsible officer, director and MIC for the company's Type 1, Type 4 and Type 9 regulated activities, and perform management and supervisory duties; 擔任公司第1類、第4類及第9類受規管活動的負責人員、董事及MIC，執行管理及監督職責； Ensure that daily business operations comply with the regulations of SFC and internal compliance requirements; 確保日常業務運作符合證監會法規及內部合規要求； Proficiently operate the trading system to efficiently complete securities orders, settlement, and delivery; 熟悉證券交易及結算系統，有效率完成證券下單、結算及交收。 Monitor the entire transaction process, promptly address any anomalies, and ensure the correct delivery of funds and securities; 監控交易全流程，及時處理異常，確保資金與證券交收無誤。 Formulate, review and update the company's operating manual to improve compliance procedures; 制定、審查及更新公司營運手冊，完善合規流程； Responsible for the development and management of external asset management (EAM) business; 負責外部資產管理（EAM）業務的拓展與管理； Supervise the operation of existing funds and the establishment of new investment projects; 監督現有基金運作及新投資項目的設立； Assist in formulating investment strategies and supervise asset investment transactions of the company and clients; 協助制定投資策略，並監督公司及客戶的資產投資交易； Maintain communication with various service providers (such as private banks, brokers) and regulatory agencies (such as SFC); 與各類服務提供者（如私人銀行、經紀商）及監管機構（如SFC）保持溝通； Collaborate with the senior management team to explore new business opportunities; 協同高管團隊發掘新業務機會； Handle other temporary tasks. 處理其他臨時交辦任務。 Job Requirements 任职要求： Bachelor's degree or above in finance, economics, or business-related fields; 本科及以上學歷，金融、經濟或商科相關專業； Over 5 years of experience in Hong Kong securities trading, asset management, or private fund distribution, with familiarity in the operation of EAM business; 5年以上香港證券交易、資產管理或私募基金分銷經驗，熟悉EAM業務運作； Understanding of the business logic of offshore city investment bonds, with relevant resources being a plus; 了解境外城投債業務邏輯，有相關資源者優先； Be able to skillfully operate securities trading and settlement systems, and be familiar with trading, settlement and delivery processes; 可熟練操作證券交易及結算系統，熟悉交易、結算及交收流程； Candidates with experience in the establishment and management of private funds (such as Hong Kong LPF, Cayman SPC) will be given priority; 具備私募基金（如香港LPF、開曼SPC）設立及管理經驗者優先； Proficient in financial products such as equities, bonds, over-the-counter derivatives, and private equity; 精通股票、債券、場外衍生性商品及私募股權等金融產品； Excellent written and oral communication skills in both Chinese (Mandarin) and English. 優秀的中英文書面及口語能力（普通話、英語流利）。 註：請附上中文及英文簡歷作工作申請。 #J-18808-Ljbffr
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