Responsible Officer (Type 1,4,9)

Benefits:

-5-days work

-Year-end-bonus

-Discretionary bonus

-Medical Insurance

Key responsibilities

-Act as the approved Responsible Officer for SFC Type 1, 4 and 9 regulated activities and assume ultimate supervisory responsibility for the conduct of securities dealing, securities advisory and asset-management businesses

-Oversee licence maintenance, variation, annual returns and all ongoing post-licensing obligations to the SFC

-Establish, implement, review and update compliance manuals, internal control policies, operational procedures and risk-management frameworks covering Type 1/4/9 businesses

-Monitor day-to-day business activities, client on-boarding (KYC/CDD/EDD), AML/CFT, client-asset protection, financial-resources rules, trade execution and portfolio management

-Conduct periodic compliance reviews, risk assessments and gap remediation; identify, escalate and mitigate compliance and operational risks

-Ensure all Licensed Representatives (LR) perform their duties in compliance with SFC requirements and internal policies

-Serve as the primary point-of-contact with the SFC and other relevant Hong Kong regulators

-Prepare, review and submit all regulatory notifications, periodic returns, reports and disclosures in a timely and accurate manner

-Respond fully and promptly to SFC queries, inspection requests and follow-up actions; manage regulatory inspections and remedial plans

Requirements:

-Currently approved, previously approved, or immediately eligible for SFC approval as a Responsible Officer for Types 1, 4 and 9.

-Meet SFC RO experience requirement: minimum 3 years of relevant experience within the last 6 years for the respective regulated activities

-Minimum 3 years of relevant hands-on experience in securities dealing, securities advisory, asset management, compliance or related regulated activities.

-Proven track-record of supervising regulated activities, implementing internal-control frameworks and liaising with the SFC

-Sound knowledge of the Securities and Futures Ordinance, SFC Code of Conduct and requirements applicable to licensed corporations.

-Bachelor's degree or above in Finance, Accounting, Law, Economics or a related discipline

-Excellent spoken and written English and Mandarin, Cantonese is an advantage