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香港Fintech上市公司下属券商,民众证券招聘Compliance Officer、Dealer等多个职位!

2017-02-11 小职君 港漂圈求职 港漂圈求职


民众证券有限公司, 为民众金融科技控股有限公司(股份代号: 279)之全资附属公司。本集团主要从事金融服务业,包括提供证券及期货经纪服务、提供买卖证券及期货。集团致力为客户提供专业、高效的金融服务,并顺应金融行业的发展趋势,追求良好的经营业绩,以加速集团业务的发展。

Compliance Officer


1. Support various applications to the SFC and other regulatory authorities;

2. Carry on compliance monitoring daily and other regular routines;

3. Conduct reviews and tests to ensure adherence to group compliance policy;

4. Provide support in drafting and updating of compliance manual and procedures;

5. Provide support in drafting and updating of client agreements and other documentations according to the latest developments in the market;

6. Attend to other compliance issues and project as required from time to time.


*Requirements :

1. University graduate with major in Accounting, Finance, Business or relevant disciplines;

2. Minimum 3 years of experience within compliance capacity;

3. Experience in Type 1, 2, 4 & 9 RA is an advantage;

4. Excellent time management, interpersonal and communication skills;

5. Self-motivated and independent;

6. High proficiency in both written and spoken English and Chinese, Mandarin is a plus;

7. Proficient in MS Office and Chinese Word Processing.



1. Handle account opening & client inquiries via phone/online;

2. Handle client orders on securities & futures (local & global markets);

3. Work with credit team on market risk monitoring / margin call / force liquidation;

4. Work on shift for global market products (24 hours team);

5. Product development - UAT testing on trading platforms and new products.



1. Degree holder or above;

2. Minimum of 1 year relevant experience in securities dealing and global stocks / futures dealing is preferable;

3. Passed the HKSI Paper 1, 7, 8, 9 examinations is a MUST;

4. Holder of Representative License under SFC for Type 1 and 2 regulated activities;

5. Strong sense of compliance and risk;

6. Good team player with strong communication and interpersonal skill;

7. Proficiency in both spoken and written English and Chinese (including Mandarin);

8. Shift duty and work on public holidays will be required if necessary.;

9. More experience will be considered as Senior Dealer.

Senior Officer (Private Client)


1. Handle high net worth clients and professional investors on account opening, trading and relationship building

2. Provide quality customer services and respond to client’s enquiries and solve trade related problems

3. Give assistance in ECM projects

4. Participate in new projects and new trading platform development projects

5. Provide daily administrative and marketing supports

6. Participate in ad hoc assignments


1. Degree or above, and licensed with SFC type 1 and 2 regulated activities;

2. Minimum 5 years’ experience in brokerage firm

Experienced in ECM projects will be an advantage

3. High proficiency in both written and spoken English and Chinese, Mandarin is a plus;

4. Excellent communication and presentation skills

5. Proficient in MS Office and Chinese Word Processing

*Less experience candidates will be considered as Officer.

We offer competitive remuneration package 

to the right candidate.

For more details, 

please visit our Company website at:










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