Securities Responsible Office

7 days ago


Singapur, 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



  • Singapur, Singapore Dalio Family Office Full time

    Join to apply for the Cyber Security Analyst role at Dalio Family Office . Dalio Family Office Overview The Dalio Family Office (DFO) supports Barbara and Ray Dalio and their family in their ventures, investments, and philanthropic efforts under Dalio Philanthropies, which includes OceanX, Dalio Education, Endless Network, and the Beijing Dalio Foundation....


  • Singapur, Singapore Dalio Family Office Full time

    The Dalio Family Office (DFO) supports Barbara and Ray Dalio and their family in their ventures, investments, and philanthropic efforts under Dalio Philanthropies, which includes OceanX, Dalio Education, Endless Network, and the Beijing Dalio Foundation. The core of the DFO’s culture is built around meaningful work and meaningful relationships and the...

  • IT Security Officer

    4 days ago


    Singapur, Singapore Epergne Solutions Full time

    Join to apply for the IT Security Officer role at Epergne Solutions Responsibilities Implement, monitor, and maintain information security policies, standards, and procedures. Conduct risk assessments, vulnerability scans, and security audits. Manage incident response, investigation, and reporting of security events. Oversee access control, identity...


  • Singapur, Singapore TikTok Pte. Ltd. Full time

    Responsibilities The Global Security Organization provides industry-leading cyber-security and business protection services to TikTok globally. Our organization employs four principles that guide our strategic and tactical operations. Firstly, we Champion Transparency & Trust by leading the charge in organizational transparency, prioritizing customer trust,...

  • IT Security Officer

    2 weeks ago


    Singapur, Singapore ITCONNECTUS PTE. LTD. Full time

    Overview IT Security Officer (ITSO) Responsibilities Develop and maintain IT security policies and action plans, reviewing them at least annually or as required by the Customer. Evaluate and recommend IT security products and solutions for implementation within the Customer's IT infrastructure. Implement and manage risk assessment methodologies, ensuring...

  • IT Security Officer

    3 weeks ago


    Singapur, Singapore PHOENIX SOLUTIONS (S) PTE. LTD. Full time

    Perform IT security operations involving activities such as security log reviews, vulnerability assessments, security access review and security configuration review to ensure compliance based on customers' requirements. Critical Key Functions and Key Tasks Perform Vulnerability Assessment Scanning Responsibilities Work with the internal project team and...


  • Singapur, Singapore Business Edge Personnel Services Full time

    Job Scope Oversee the entire incident response lifecycle from detection to resolution. Lead investigations of IT security incidents and ensure thorough root cause analysis and remediation. Develop and maintain incident response playbooks and procedures. Coordinate with internal, external stakeholders, and vendors during incidents. Conduct post-incident...

  • Security Officer

    2 days ago


    Singapur, Singapore ACESTES PTE. LTD. Full time

    Our company is expanding and seeking suitable individuals to apply for the position of Security Officer to perform the following duties and responsibilities :1.Manage Incidents2.Provide Guard and Patrol Services3.Perform access controls4.Perform duties as delegated by SupervisorAreas : Sengkang, Yew Tee and Jurong WestSecurity Officers who have clocked at...

  • Security Officer

    2 days ago


    Singapur, Singapore ONESTOP PLACEMENT PTE. LTD. Full time

    Job TitleSecurity Officer | Up to $3100 We are looking for security officer (SO rank) for a Data Centre at Ang Mo Kio.Job Description & Requirements Data Centre @ Ang Mo KioWorking HoursDay/Night shift0800hrs to 2000hrs2000hrs to 0800hrsJob Descriptions 1. Monitor vehicle access, verify permits, issue parking tickets and manage guest/vendor entry per client...


  • Singapur, Singapore HALLMARK SECURITY MANAGEMENT PTE. LTD. Full time

    A Senior Security Officer plays a pivotal role in ensuring the safety and security of premises, assets, and personnel. This position demands leadership, vigilance, and a strong understanding of security protocols. Senior Security Officers are typically entrusted with supervisory duties and are expected to mentor junior staff while upholding the highest...