Responsible Officer 1,4,5,9
Our client is a well-known, international financial services group. The group operates across dozens and dozens of Chinese cities, in the US, Hong Kong, UK, and many other regions.
Through their continual expansion in the Asia Pacific region, they are looking to hire a Responsible Officer 1,4,5,9 to join their established team in Hong Kong.
Our client holds PIBA registration as well as SFC License of Type 4, 5 and 9 through its wholly owned subsidiaries. Its principal business is to provide wealth and asset management services.
As a Responsible Officer to supervise SFC Type 1, 4, 5, and 9 regulated activities- you must be eligible to apply for 1,4,5 & 9 RO (Responsible Officer) Status
Oversee the related business operations of the company and ensure the operations are complied with SFC regulations
Formulate, review and update the operational procedures to ensure full regulatory compliance
Liaise with SFC and other regulators
Assist the group's senior management to develop overall business development strategies
Participate in ad-hoc projects and duties as assigned
Degree or above in any related disciplines
MUST previously / recently be registered under SFC type 1. 4. 5. and 9 license as a Responsible Officer
Sound knowledge of SFO, SFC Code of Conduct and compliance rules
Strong analytical, leadership, interpersonal and presentation skills
Fluent in both spoken and written English, Chinese (Cantonese & Mandarin)
Immediate availability is highly preferred
Flexible Working Hours arrangements will be considered.
For further information, please do send an updated resume to Edward Chen at:
ec AT harbridgepartners DOT com
consultants AT harbridgepartners DOT com