Responsible Officer (SFC Type 1, 4 and 9)

  • Competitive Package
  • Hong Kong
  • Permanent, Full time
  • Mario Recruitment Limited
  • 18 Feb 18 2018-02-18

We look for a fit & proper Responsible Officer who is eligible to supervise Type 1, 4 and Type 9 regulated activities for our clients who are reputable brokerage firms, asset managers, hedge funds and other financial institutions in Hong Kong.

Job Duties

You will assist in preparing for SFC license applications and for related SFC regulatory duties reporting to senior executive management.  Key responsibilities include:

  • To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities;
  • 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;

Job Requirements

  • Having 5+ years of solid experience in sell-side securities firm or in buy-side asset managers in capacity of supervising regulated activities;
  • Having sound knowledge of SFO, SFC codes & guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls.
  • Having sound product knowledge of various asset classes of at least one of the following portfolios: FICC, Stock Connect, authorized funds and insurance products;
  • Current holder of SFC Responsible Office license for Type 1,  4 and 9 RA preferred;
  • Having Prior regulatory relationship management experience is preferred;
  • Possessing strong leadership, analytical, communication and presentation skills;
  • A holder of bachelor degree or above;
  • A native or business professional level speaker of Cantonese, Mandarin or English;