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Act as a Responsible Officer with management responsibilities and duties to supervise SFC Type 1, 4 and 9 Regulated Activities. Candidates with sufficient experience being Representatives for Type 1, 4 and Type 9 will be considered as well.
Assist in the application of Type 1 license, including setting up the infrastructure, formulate operation procedures and workflow in the new licence application.
Assist top management in strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management.
Formulate, review and update the operational procedures to ensure full regulatory compliance.
Manage regulatory inquiries, inspections and other communication with regulators.
5+ years of experience in brokerage and investment banks or in buy-side asset managers in capacity of supervising regulated activities.
Prefer current holder of Type 1 Responsible Officer.
Sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls.
Attention to detail and strong analytical skills.
Strong leadership, analytical, communication and presentation skills.
A holder of bachelor degree or above.
Excellent command of written and spoken English and Chinese.
We offer attractive remuneration package to the right candidates. Interested parties please click "Apply" to submit your application
All information provided by applicants will be treated in strict confidence and handled confidentially for recruitment purpose only. All personal data of unsuccessful applicants will be destroyed after the recruitment exercise.