Responsible Officer (SFC Type 4 and 9)

  • Competitive Pay
  • Hong Kong
  • Permanent, Full time
  • Mario Recruitment Limited
  • 19 Jan 18 2018-01-19

Our Client is an established Securities Brokerage and Wealth Management Group (Type 1, 2, 4, 9) now looks for a high calibre with good leadership for their Asset Management team for business expansion plans.

Job Responsibilities:

  • Act as a Responsible Officer with management responsibilities and duties to supervise SFC Type 4 and 9 Regulated Activities  
  • Advise and evaluate on comprehensive portfolio for expansion plan
  • Provide advice and support to top management in Portfolio Management with different assets class (equities, fixed income, derivatives, funds…etc)
  • Assist top management in strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
  • Formulate, review and update the operational procedures to ensure full regulatory compliance
  • Assist in communicating with regulatory bodies


Job Requirements:

  • Having 5+ years of solid experience in brokerage and investment banks or in buy-side asset managers in capacity of supervising regulated activities
  • Having sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls.
  • Current holder of SFC Responsible Office license for Type 9 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