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To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities in Type 9 business in particular in fund management
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
A holder of bachelor degree or above
Having 7+ years of solid experience
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 and 9 RA preferred; experienced Licensed Rep will also be considered
Strong relationship management experience is highly preferred
Competitive incentive plan for business development
Please submit your full resume, CE No. and current & expected packages to us via JobsDB. Applications with insufficient information will not be processed