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Our client is a listed and reputable financial services firm in Shanghai China. Aiming to provide a wide range of financial services to clients, the company has expanded their investor network in Hong Kong. They are looking to hire a high caliber professional to join their Hong Kong office as Responsible Officer, Type 9.
Play a key and leading role in overseeing all regulated activities in related to SFC Type 9
Supervise and manage daily operations to ensure full regulatory compliance
Advise and assist the top management level based on strategic plans and activities together with routine operations by strictly following all regulatory requirements, rules, laws and management framework of credit and risk control
Primarily involve in the communication with SFC, HKEx and other regulatory stakeholders
Provide a full range of assistance in the documentation process in related to operations, policies and procedures in a timely and efficient manner
Perform other ad-hoc duties as assigned.
A Bachelor's Degree holder or above academic qualifications and background in relevant to brokerage services
With at least 5 years working experience in the field and strong network in the industry would be advantageous
Registered as SFC Responsible Officer for Type 9 regulated activities or other relevant qualifications
Comprehensive understanding and knowledge about risk management control as well as the rules and guidelines issued by regulatory authorities
A self-driven person with good skills of problem-solving, organization, interpersonal development and communication and ability to work under pressure
Good command in both verbal and written English, Cantonese and Mandarin
This is an excellent opportunity for professional who wants to join a dynamic team in Hong Kong. My client is willing to offer a highly competitive package to the suitable candidate.
Internal Number: 4715123
About Morgan McKinley Hong Kong
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