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Compliance & Internal Control Officer

The Job

  • Assist in dealing with HKEX, SFC, and other regulatory organizations for all compliance and licensing matters
  • Assist in produce internal report for management and board to assess related risks
  • Assist in updating policies and procedures to ensure compliance of business with relevant rules and regulations
  • Assist in conducting regular compliance review on business activities in accordance with rules and regulations, internal policies and procedures
  • Assist in organizing CPT training and licensing application for licensed sales force
  • Assist to provide administrative support that related to compliance issues
  • Perform ad-hoc assignments or projects as required

The Person

  • Degree holder in finance, law, or related disciplines is preferable
  • At least 2 years of work experience as a General Compliance in SFC LC
  • Familiar with rules and regulations of the SFC and SEHK
  • Able to work independently, self-motivated with a strong sense of responsibility and analytical mind
  • Good command of English, Cantonese and Mandarin
  • Proficiency in MS Word, Excel
  • Immediate available is highly preferred

 

Dealer

The Job

  • Handle and execute securities transactions with accuracy and efficiency for clients and investors
  • Review trade documentation and ensure that dealing orders are completed accurately
  • Handle enquiries on doubtful trades
  • Match daily transaction records and compile various trading reports
  • Assist in client on-boarding and handle relevant enquiries
  • Assist in ad-hoc projects as assigned

The Person

  • Diploma or above. Holder of SFC license RA1 & 4 is required
  • 1 to 2 years’ relevant experience in securities brokerage firms
  • Self-motivated, able to work independently and work under pressure
  • Good communication skill and proficiency in Microsoft office, Word, Excel and Chinese Word Processing
  • Fluency in English, Cantonese and Mandarin is required

 

IT Infrastructure Specialist

The Job

  • Perform IT security control review and support to manage Cybersecurity/security related projects
  • Manage disaster recovery planning (Data backup and restoration, DR plan update and conduct annual DR drill)
  • Responsible for managing the design of IT infrastructure for new business initiatives, technology refresh and adoption of new technology
  • Provide front-line remote and on-site support for internal staff
  • Implement tools for system health monitoring and reporting
  • Responsible for procurement and management of Infrastructure equipment

The Person

  • 7 years or above in supporting IT infrastructure within financial service
  • 2 years of project and vendor management
  • Familiar with system, storage, identify and access management, O365, VMWare and cloud services; e.g. Active Directory, Azure, VDI
  • A good team player with strong analytical and problem-solving skills
  • Ability to handle multiple tasks simultaneously and switch between tasks quickly
  • Microsoft Azure certification is an added advantage
  • Holder of IT certificates including MS-101/AZ-801 is an advantage
  • Possess excellent communication skills in English and Chinese

 

Operations Manager

The Job

  • Trade settlement for all securities transactions covering listed stocks, unlisted equities, OTC bonds/credit instruments/funds, both secondary trades and IPOs
  • Corporate actions processing
  • Handling of fund movement for clients account at bank and related reconciliation
  • Account opening for new clients and subsequent maintenance
  • Data processing for all securities transactions as maker or checker
  • Reconciliation of client money and holdings
  • Team management
  • Preparation of supporting documents required for FRR reporting

The Person

  • University graduate is preferable
  • 3 or more years in brokerage (type 1 license and HKEX participant) for securities settlement/wealth management, with 2-3 years of supervisory experiences preferred
  • Markets Covering: listed stocks in US, HK and preferring also in EU/UK , private equities and OTC bonds/credit instruments
  • Client onboarding/account opening processing experiences
  • Any experience with 2Go trading system is a definite advantage
  • CCASS settlement experience preferred

 

Senior Relationship Manager (External Asset Management)

The Job

  • Acquire, grow and maintain business relationships with private banking or affluent banking clients, to become their trusted adviser
  • Build relationships with internal clients and business partners for client acquisition and business collaboration
  • Provide private wealth management solutions and investment services to clients with respect to their circumstances and investment objectives
  • Maintain close communication with clients on an ongoing basis to provide a consistent service in advising or managing their portfolios
  • Build and grow AUM and revenue to achieve the company’s business objectives and sales target
  • Promote long term client relationships and deliver the company’s value proposition
  • Ensure all selling activities are in compliance with internal guidelines and external regulatory bodies

The Person

  • Fluent in Putonghua and competent in written and spoken English and Cantonese
  • A Degree holder in Banking, Economics, Finance or related disciplines
  • Minimum 5 years of relevant experiences in serving high net worth individuals in an affluent/private bank or wealth management firm
  • Holder of SFC license for Type 1, 4 regulated activities
  • Holder of CFA, CFP, CPWP or CWMA is highly regarded
  • Customer-focused, with excellent communication and interpersonal skills
  • Excellent work attitude, relationship building and communication skills
  • Good knowledge in affluent banking and wealth management products
  • Fully familiar with KYC and client onboarding process of banks

 

 

Interested candidates please email your resume to career@vsfg.com

We are an equal opportunity employer and welcome applicants from all qualified candidates. Personal data collected will be treated in the strictest confidence and handled confidentially by authorized personnel for recruitment related purposes. Applicants not hearing from us within six weeks from the date of advertisement may consider their application unsuccessful.