***Please note the job position***

Dealing Officer

Responsibilities:

• Provide quality customer services including accounts opening and handle client's enquiries
• Communicate with internal and external parties effectively
• Monitor trading system and online trade transactions
• Execute client trading orders and facilitate daily operation of dealing room
• Perform other ad-hoc duties as the company requires

Requirements:

• Diploma / Degree holder in Finance or business related disciplines (IANG are welcome)
• Licensed with SFC Type 1 (Dealing in securities) or passed HKSI Licensing Examination Paper 1, 7, 8 is a must
• Minimum 1 years' relevant experience in finance or securities industry is an advantage
• Good command of written, Chinese and Putonghua
• Self-motivated, responsible and able to work under pressure

Settlement Clerk

Responsibilities:

• Handle daily cash and product arrangement with counterparties & clients
• Handle daily booking and settlement process of Securities and OTC product
• Prepare daily reconciliation reports to Supervisor
• Provide other administrative support for the department
• Handle ad hoc projects as assigned
• Daily trade documents filing

Requirements:

• Good PC knowledge including Excel and MS Word
• Good command of written, Cantonese and Mandarin
• To be patience, willing to learn, detail-minded, initiative and teamwork concept

Research Analyst

Responsibilities:

• Analyze company fundamentals, financial data, and annual reports, generate investment ideas with proven reasons.
• Prepare research reports on Hong Kong listed stocks.
• Monitor existing investments and maintain database.
• Perform other ad-hoc projects as assigned

Job Requirements:

• Bachelor’s degree or above in Finance, Economics or other related disciplines.
• Good financial analysis skills and solid understanding of market dynamics.
• Self-motivated, analytical and detail-oriented with good communication skills.
• Proficient in MS Office applications (particularly Excel)

Responsible Officer

Responsibilities:

• Act as a Responsible Officer to supervise the Type 1, 4 & 9 regulated activities
• Act as MIC of Key Business Line, Risk Management and Operational Control
• Formulate, review and update the operational procedures to ensure full regulatory compliance
• Supervise and manage securities dealing, settlement, analysis and asset management team
• Review and approve research reports distribution and publication
• Handle placement of securities
• Communicate with BSS vendor and monitor the dealing and settlement system
• Monitor margin account and ensure to fulfil FRR requirement

Requirements:

• University graduates in business related disciplines
• Must be a current SFC Type 1, 4 & 9 Responsible Officer License holder or Licensed Representative for over 5 years
• 3 years of experience in SFC regulated activities and at least 1-2 years of management experience
• Sound knowledge of SFO, SFC Code of Conduct and rules
• Good command of written and spoken English and Chinese and Putonghua.

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Full-time