Responsible Officer (SFC Type 6)

  • Competitive Pay
  • Hong Kong
  • Permanent, Full time
  • Mario Recruitment Limited
  • 18 Mar 19

Our client is a well established Asset Management Group with regulated activities in Type 1,2, 6 & 9.They are now looking for a fit and proper Responsible Officer who is eligible to supervise Corporate Finance Advisory areas.

Job Responsibilities:

  • Originate new deals and to support existing deals; to advise/evaluate complex deals and asset structures
  • 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 due diligence execution;
  • Formulate, review and update the operational procedures to ensure full regulatory compliance
  • Establish proper documentation of all regulated activities;
  • Assist in handling compliance cases and complaints;
  • Assist in communicating with regulatory bodies;

Job Requirements:

  • With 5+ years of solid experience in brokerage and investment banks or in buy-side asset managers in capacity of supervising regulated activities
  • You need to be analytical and demonstrate strong financial modelling and Excel skills
  • Possess 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 6 RA preferred
  • Prior regulatory relationship management experience is preferred
  • Strong leadership, analytical, communication and presentation skills
  • A holder of bachelor degree or above