Responsible Officer SFC Type 1

  • Negotiable
  • Hong Kong Hong Kong Hong Kong HK
  • CDI, Plein-temps
  • Mario Recruitment Limited
  • 20 juin 18 2018-06-20

We look for a fit & proper Responsible Officer who is eligible to supervise Type 1 regulated activities for our clients who are Brokerage and Asset Management firm.

Job Duties:

  • To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities
  • To provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
  • To formulate, review and update the operational procedures to ensure full regulatory compliance
  • To establish proper documentation of all regulated activities
  • To handle compliance cases and complaints
  • To assist in communicating with regulatory bodies

Job Requirements:

  • Having 5+ years of solid experience with experience in placements of shares from reputable brokerage firms
  • Having sound knowledge of SFO, SFC codes & guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls
  • Current holder of SFC Responsible Office license for Type 1 RA preferred
  • Having Prior regulatory relationship management experience is preferred
  • A holder of bachelor degree or above
  • A native or business professional level speaker of Cantonese, Mandarin or English