OCBC Securities Brokerage (Hong Kong) Ltd. – Responsible Officer

OCBC Bank

Sheung Wan, Hong Kong
Permanent
Full-time

25 days ago

OCBC is the longest established Singapore bank, formed in 1932 from the merger of three local banks, the oldest of which was founded in 1912. It is one of the world’s most highly-rated banks, with Aa1 by Moody’s and AA- by both Fitch and S&P. Recognised for its financial strength and stability, OCBC is consistently ranked among the World’s Top 50 Safest Banks by Global Finance and has been named Best Managed Bank in Singapore by The Asian Banker.OCBC is the second largest financial services group in Southeast Asia by assets. The Group offers a broad array of commercial banking, specialist financial and wealth management services, ranging from consumer, corporate, investment, private and transaction banking to treasury, insurance, asset management and stockbroking services.OCBC’s private banking services are provided by its wholly-owned subsidiary Bank of Singapore, which operates on a unique open-architecture product platform to source for the best-in-class products to meet its clients’ goals. Its insurance subsidiary, Great Eastern Holdings, is the oldest and most established life insurance group in Singapore and Malaysia. Its asset management subsidiary, Lion Global Investors, is one of the leading asset management companies in Southeast Asia.The Group’s key markets are Singapore, Malaysia, Indonesia and Greater China. It has close to 420 branches and representative offices in 19 countries and regions.For more information, please visit www.ocbc.com.hk to learn more about OCBC Hong Kong.Key Responsibilities

Act as Responsible Officer of the firm with management responsibilities and duties to supervise SFC Type1 & Type2 regulated activities
Drive business growth through effective collaboration across segments and channels
Manage securities sales and dealing operation, risk monitoring, and financial reporting
Support business development and trading platform process improvements
Ensure full compliance to internal and regulatory rules, guidelines and procedures while supervising the operations of the licensed corporation
Manage and supervise licensed staff subject to the latest regulatory requirements, including licensing/ CPD requirements, and fit and proper requirements

Skills & Experience

Minimum 5 years of experience as an RO of SFC Type1 & Type2 regulated activities
Degree holder in finance, economics, or related field preferred.
Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
Solid understanding about front, middle and back office operations, risk controls and processes of a regulated licensed corporation
Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
Good command of written & spoken English, Cantonese and Chinese Mandarin

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