Responsible Officer / RO, SFC Type 4 & 9 (1-Year Contract)

Hong Kong
Competitive Package
05 Nov 2018
12 Nov 2018
Contract type
Full time

Major Roles:

  • Act as Responsible Officer with management responsibilities and duties to supervise SFC Type 4 & 9 RA;
  • Supervise and manage daily operations to ensure full regulatory compliance;
  • Communication with SFC and other regulators;
  • Comply with all applicable laws, rules & regulations and standard of good market practices;
  • Perform other duties as assigned.

Profile Requirements:

  • Degree holder or above in Finance, Economics or Business related disciplines;
  • Current holder of SFC RO license for Type 4 and 9 RA (without conditions) or with active license status;
  • Minimum 5 years of solid relevant working experience;
  • Sound knowledge of SFO, regulations and guidelines of regulatory authorities and risk management control;
  • Ability to work under pressure; with honesty, integrity and strong analytical, leadership, presentation and interpersonal skills;
  • Good command of written & spoken English and Chinese (including Putonghua).

(Personal data collected will be used for recruitment purpose only.)

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