1/4/9 RO

【工作职责 Job Responsibilities】

全权负责公司SFC 1/4/9类受规管活动的RO履职与合规管理，统筹全业务合规风控，核心职责如下：

1.牌照与业务监管：担任1/4/9类牌照法定负责人员，全面监督证券交易、投资咨询、资产管理业务日常营运，确保全程符合SFC及相关监管法规要求。

2.业务合规审批：审核审批公司重大业务举措、金融产品及服务，落地前完成合规校验；定期开展内部合规审查与审计，排查业务合规风险。

3.风险冲突管理：统筹管理业务利益冲突，建立并完善信息披露机制，规范业务流程，防范合规风险。

4.内控体系建设：制定、审核及更新公司合规政策、合规手册与SOP标准流程，搭建完善的内部合规管控体系。

5.合规档案管理：整理留存全套业务合规、监管报备资料，完善合规档案，满足监管核查要求。

6.监管对接申报：作为对接SFC及监管机构核心联系人，负责合规申报、监管问询、核查对接等全部对外合规工作。

7.内部合规赋能：联动管理层及各业务部门，提供专业合规咨询与风险指导，前置防控业务风险，保障合规经营。

8.其他工作：完成管理层交办的临时合规专项工作。

【入职要求 Job Requirements】

1.学历要求：本科及以上学历，金融、经济、会计、工商管理、风控、法律等相关专业优先。

2.从业经验：5-10年金融行业合规、风控、监管相关工作经验，有香港持牌券商从业经历者优先。

3.专业资质：持有有效且无条件的香港证监会第1/4/9类责任官员执照，且至少有2年有效的持牌期。精通香港SFC监管法规，熟悉1/4/9三类牌照业务运作模式，具备多牌照合规统筹管理经验。

4.业务能力：深入了解证券交易、投资咨询、基金管理业务，熟练掌握反洗钱、反恐融资、金融制裁等合规管控要求。

5.个人素养：责任心强、职业操守良好，工作严谨，可独立解决复杂合规与监管问题，具备优秀统筹及团队协作能力。

6.综合素养：逻辑清晰、沟通及文书能力出色，可精准向各层级解读复杂监管规则。

7.语言能力：熟练掌握中英文读写及口语，流利使用普通话、粤语，可无障碍对接监管及内部团队。

【Job Responsibilities】

Full responsibility for the RO performance and compliance management of the company's regulated activities of SFC 1/4/9 category, coordinating the overall compliance risk control of all business operations. The core responsibilities are as follows:

1. License and business supervision: Serve as the legal responsible person for the 1/4/9 category licenses, comprehensively supervise the daily operations of securities trading, investment consulting, and asset management businesses, ensuring full compliance with SFC and related regulatory requirements.

2. Business compliance approval: Review and approve major business initiatives, financial products, and services of the company, completing compliance verification before implementation; conduct regular internal compliance reviews and audits to identify business compliance risks.

3. Risk conflict management: Coordinate the management of business conflicts of interest, establish and improve the information disclosure mechanism, standardize business processes, and prevent compliance risks.

4. Internal control system construction: Develop, review, and update the company's compliance policies, compliance manuals, and SOP standard procedures, and establish a complete internal compliance control system.

5. Compliance file management: Collect and retain all business compliance and regulatory filing materials, improve compliance files, and meet regulatory verification requirements.

6. Regulatory connection and reporting: Serve as the core contact person for connecting with SFC and regulatory agencies, responsible for all external compliance work such as compliance reporting, regulatory inquiries, and verification connections.

7. Internal compliance empowerment: Collaborate with management and various business departments to provide professional compliance consultation and risk guidance, proactively prevent business risks, and ensure compliant operations.

8. Other tasks: Complete temporary compliance special tasks assigned by management.

【Job Requirements】

1. Education: Bachelor's degree or above, with a preference for majors such as finance, economics, accounting, business administration, risk control, law, etc.

2. Work Experience: 5-10 years of experience in compliance, risk control, and regulatory affairs within the financial industry. Candidates with experience in licensed brokerage firms in Hong Kong are preferred.

3. Professional Qualifications: Hold a valid and unconditional license as a responsible officer from the Hong Kong Securities and Futures Commission (Class 1/4/9), with at least 2 years of valid license tenure. Proficient in Hong Kong SFC regulatory regulations, familiar with the operation models of Class 1/4/9 licenses, and have experience in multi-license compliance coordination management.

4. Business Skills: Have a deep understanding of securities trading, investment consulting, and fund management businesses, and be proficient in compliance control requirements such as anti-money laundering, anti-terrorist financing, and financial sanctions.

5. Personal Attributes: Strong sense of responsibility, good professional ethics, rigorous in work, capable of independently resolving complex compliance and regulatory issues, and possessing excellent coordination and teamwork skills.

6. Comprehensive Skills: Clear logic, excellent communication and writing skills, able to accurately interpret complex regulatory rules to all levels.

7. Language Skills: Proficient in reading, writing and speaking both Chinese and English. Fluent in Mandarin and Cantonese, able to seamlessly communicate with regulatory and internal teams.