Securities Responsible Office

2 weeks ago

Singapore ARK Wealth Management-NOAH Full time

Seniority Level Executive Employment Type Full-time Job Function Management, Distribution, and Finance Industries Securities and Commodity Exchanges, Investment Banking, and Financial Services Responsibilities Formulate marketing plans based on the Hong Kong and US stock markets and the company's goals, monitor data to optimize strategies, ensure all marketing activities strictly comply with the regulatory requirements of the Hong Kong SFC, and take primary supervisory responsibility for marketing compliance as a RO. Plan customer acquisition and retention programs, identify potential irregularities from a RO's professional perspective, promote the optimization of products and services, and control compliance risks throughout the process. Plan the creation of Hong Kong and US stock content, review the content in accordance with the standards of RO's responsibilities, ensure that information such as investment advice and risk disclosure complies with the Hong Kong Securities and Futures Ordinance, and promote the compliant transformation of business. Build a data monitoring system, analyze data, and regularly submit compliance reports to the company and the SFC as a RO, providing suggestions that combine data insights and a compliance perspective for the business. Supervise the daily work of the team as a RO, organize compliance training, and take leadership responsibility for the compliance of the team's business activities. Pay close attention to Hong Kong's financial regulatory policies, take the lead in revising the company's systems and processes to ensure the continuous compliance of business, and perform the core functions of RO in policy implementation and system improvement. Qualifications Bachelor's degree or above, with priority given to majors such as finance and marketing. More than 10 years of experience in internet or financial marketing, familiar with the Hong Kong and US stock markets, must hold relevant Hong Kong RO licenses (Type 1, Type 4), have experience in securities and futures practice in Hong Kong, and be familiar with securities business, including the full-process operation mechanisms of securities issuance, trading, clearing, and settlement, as well as the characteristics and relevant business rules of various securities products (such as stocks, bonds, derivatives, etc.). Proficient in online marketing, data analysis, and content creation, possess financial knowledge, have good English skills, be able to accurately interpret English regulations on Hong Kong financial supervision, and have an in-depth grasp of the operation rules and business models of the securities market, and can accurately understand the compliance points in each link of securities business. Have market insight, team management, and communication skills, be able to work under pressure, be innovative, and when dealing with marketing activities involving securities business, can accurately grasp the combination of business essence and compliance requirements, and have the ability to perform RO's multiple responsibilities in a complex regulatory environment. Be passionate about the Hong Kong and US stock industry, continuously learn Hong Kong's financial regulatory policies and securities industry knowledge, constantly deepen the understanding of new securities business models and new products, and maintain the professional acumen and knowledge update ability required for RO. #J-18808-Ljbffr

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