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 瑞達國際金融控股有限公司

TEL: 00852-2534 2000

FAX: 00852-2563 2368

地址:香港湾仔轩尼诗道139号中国海外大厦16C-D


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合 規 主 任

工作重點/要求:

l  日常合規及監督工作

l  法規監察

l  反洗錢/打擊洗錢及恐怖分子資金籌集

l  最少具有兩年合規及法規監察經驗

l  熟悉香港之《證券及期貨條例》

l  監察及管理反洗錢/合規/營運風險

職務

l  確保公司政策、內部監察程序和手冊符合監管的法規要求

l  與證監會、香港交易所及其他監管機構聯絡,以配合進行任何查詢和要求

l  就與證券、公司融資、牌照許可和相關事宜有關的合規性方面提供諮詢

l  監督和視察客戶盡職審查(CDD & KYC)和反洗錢(AML)功能

l  監控交易和交易相關之活動,並進行監控及匯報

l  提供有關合規準則的員工培訓(CPT),並紀錄所有持牌員工的CPT時間

l  協助並參與被分配之臨時項目或職務

l  緊貼更新公司的合規政策和程序,以及關注相關法規要求的訊息

l  協助負責人員(RO)起草和修訂內部操作程序、合規手冊和其他相關表格和文件

l  就合規事宜,向業務運營部門提供諮詢和支援

l  進行定期合規評估,並進行相關合規調查

l  進行客戶盡職調查,以確保所有提交的客戶文件均符合內部標準和程序以及法規要求

l  把可疑交易報告(STR)複製和歸檔,並跟進已舉報的案件;

l  對高風險客戶進行增強的盡職調查(EDD);

l  執行並持續更新了解客戶盡職審查(KYC);

要求:

l  大學學歷(以法律、金融、會計或相關學科為本科)

l  在證券行業具有最少2年的合規或審計領域實際工作經驗

l  熟悉香港之《證券及期貨條例》及相關條例及指引

l  具有與香港證監會及交易所聯絡之經驗, 及熟識有關牌照的事宜(包括申請牌照之經驗)

l  熟悉反洗錢(AML)和客戶盡職審查(CDD & KYC)等合規工作

l  注重細節,成熟且具有獨立工作之能力

l  精通廣東話,英語和普通話

客戶服務主任

客戶服務主任的要求:

l  應徵者需要是香港證監會第二類別受規管活動 - 期貨合約交易的持牌代表,以及擁有相關學位。但是,有資格申請上述牌照的應徵者也會被考慮;

l  有相關工作經驗者將會優先考慮;

l  應徵者必須能操流利普通話;

l  應徵者必須俱有良好的中,英語文能力;和

l  能夠獨立處理相關的工作。

客戶服務主任的職責:

l  透過電話或電子郵件通訊,盡速處理客戶的咨詢,投訴和疑問;

l  負責香港辦事處,總公司及其他內地分公司之間的溝通及協調;

l  負責客戶驗證和更新現有客戶的信息;

l  負責開立新帳戶,包括檢示KYCAMLCDD 等範疇;

l  維持及改善與現有客戶,總公司及內地分公司的關係;

l  需要執行後勤支援,行政工作,文書任務,交易和其他臨時職責;

l  協助銷售工作,介紹不同交易所的新產品;

l  知滙客戶有關市場信息,例如:環球經濟發佈,交易假期和交易時間等;

l  更新公司網站信息。

Institutional Account Director

Job details

Responsibilities:  

l   Formulate overseas business development plan to establish and maintain overseas clients’ relationship, such as QFII introduction

l   Introduce internationalized varieties participation ways and trading rules like China's crude oil and iron ore to overseas clients, including banks, funds, brokers, dealers, traders, etc.

l   Organize overseas recommendations’ activities, design and distribute brochures on Futures, Asset Management as well as business negotiations

l   Coordinate and communicate with headquarter, update market dynamics and policy to clients

 

Requirements:

l   Priority for overseas academic background practitioners 

l   Retain good interpersonal relationships and high net worth institutional clients resources in mainland, Hong Kong and overseas

l   Assist clients to communicate and coordinate with mainland institutions and exchanges

l   Have a sound knowledge on global investment products

l   Familiar with overseas clients trading habits, requirements, and the domestic futures market laws and regulations

l   Ability to perform tasks assigned by leaders independently, teamwork spirit and strong ability to resist pressure

A strong command of spoken Putonghua is a MUST and other Chinese dialect and slang is WOULD BE AN ADVANTAGE 

 

Risk Control Manager

 

Responsibilities:

 

· l Conduct risk and control assessments, develop and implement Internal Control Monitoring Plan, perform control tests and ongoing monitoring;

 

· l Need possess practical experience in handling HK Derivatives markets, Global Futures;

· l Have abilities to plan and guide team mates in conducting system (internal/external) test/development as well as ability to liaise with various parties during the developing course;

· l Assist ad hoc projects as assigned and new product launch

Requirements:

 

· l Degree or above with major in Finance, Business or Banking;

 

· l At least 5 years’ experience in operations and 2 years of above in managerial position;

· l Equipped with relevant finance and accounting knowledge;

· l Fluent Putonghua speaking is a MUST;

· l Applicants with less experience will be considered for Senior Operation Officer.

 

Settlement Manager

Responsibilities:

 

· l Handles and manages the daily settlement functions to deliver a timely, smooth, reliable and efficient service to an expanding customer base

 

· l Coordinates with the Responsible Officers, IT department, dealing department to develop new operational and settlement procedures, for delivering new financial services and products to our customers, following standards and industrial best practices

 

· l Enforces segregation of duties by verifying and approving the transactions, amendments and data changes made by the settlement team

 

· l Performs and develops procedures for reconciling transactions and stock holdings among various systems together with IT

 

· l    Manages projects related to the Settlement Department

Requirements:

 

· l Bachelor’s Degree or higher in Business Administration, Finance, Economics or related disciplines from an accredited institution;

 

· l Minimum 3 years of working experience in the settlement and operations department at a prestigious financial institution, in a team-leading or senior position

 

· l Excellent command of both written and spoken English and Chinese and Fluent Putonghua speaking is a MUST;

 

 

Dealer

 

Responsibilities:

 

· l Operate and monitor Futures trading platform

 

· l Responsible for timely and accurate execution on all trade orders

· l Monitor client’s position level and margin

 

· l Preparing dealing reports and market commentary

·   Identify potential market risks and report the issues to senior management

·   Provide Futures quotations and execute orders under clients’ instructions

· lHandle clients’ enquiries

· l Comply with procedures, policies and regulatory requirements

· l Participate in ad-hoc projects

Requirements:

 

· l Diploma holder or above in Business or any related discipline

 

· l Dealing experience in futures is preferred

 

· l Licensed with SFC Type 2 (/ RA2) regulated activities is preferred

· l Willing to work in shift on rotational basis and public holidays

·      Fluent Putonghua speaking is a MUST;

 

· l Able to handle multi-tasks and work under pressure

 

· l Good team player with good communication & interpersonal skills

 

Customer Service Manager

 

Responsibilities:

 

· l Responsible for Global Futures Contacts as dealing operation

· l Performs trades execution and handles daily processing

· l Monitors and checks on outstanding orders and Clients’ account balance

· l Night Shift duty is required

 

Requirements:

 

· l Form 7 or equivalent with relevant license (SFC Type 2)

 

· l Familiar with online trading with strong numerical sense

 

· l Detail-oriented good team player with positive attitude

· l Good command of both written and spoken English, Chinese

· l Fluent Putonghua speaking is a MUST

 

· l Proficiency of PC skills (MS Word, Excel, Chinese word processing)

 

· l Able to work independently with good interpersonal and communication skills;

 

Compliance Manager

 

Responsibilities:

 

· l Perform regular compliance testing including AML/FACTA (anti money laundering/ foreign account tax compliance act) control measures in our regulated business

 

· l Process staff licensing application

· l Record and monitor CPT/CPD(continuous professional training/ continuing professional development) of licensed staff

 

· l Organizing compliance training programs

· lHandling enquiries and investigations from the regulators

·   Handle ad hoc assignment if needed

IT Support

 

Responsibilities:

 

· l Perform hardware and software support to users

 

· l Attend customer enquiry on all IT issues

 

· l Deal with daily operation of our trading platforms

 

· l Onsite setup and configuration new computers and other IT equipment

· l Conduct IT inventory control and report

· l Data backup and restore

· lHandle operation task such as local printing, tape backup arrangement, tape management, voice recording listening support

 

Requirements:

 

· l Diploma on IT, Computer Science or related discipline;

 

· l Basic knowledge in TCP/IP, Juniper/Cisco/Sonic wall firewall & VPN setting;

 

· l Good communication in Putonghua is a MUST

· l Knowledge on electronic trading platforms is an advantage;

· l Able to work independently with good communication skills;

 

· l Confident, willing to learn and well organized;

 

· l Fresh graduates are welcome but candidates with relative working experience will consider for a higher position.

 

We offer competitive remuneration package to the right candidates.  Interested parties should apply with detailed resume including expected salary in both English and Chinese by email to: info@ruida-int.com or fax to: 2563 2368.
  (All information collected will be used for recruitment purpose only)

 

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