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Our client, a Financial Institution, is looking for high-caliber person to fill the position.

工作职责

Act as Responsible Officer for SFC Type 1 & 4 regulated activities.
Monitor and oversee daily operations, including account opening, KYC, AML, liaise with brokers, risk management and conduct regular compliance reviews.
Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and guidelines.
Develop and maintain good relationships with investors and issuers.
Coordinate and organize roadshows and investor meetings
Prepare internal records and marketing materials
Keep abreast of regulatory developments and advise the company on compliance matters.
Other ad-hoc tasks as assigned.

工作要求

Bachelor Degree in Business / Finance / Accounting or related discipline(s);
Qualified SFC Type 1 & 4 Responsible Officer License holder
Minimum 5 years of management experience with at least 3 years of RO experience.
In-depth understanding of the regulations and guidelines, risk management controls and compliance best practices of relevant regulatory agencies (e.g. SFC, HKEX).
Strong stress tolerance, multi-tasking ability, as well as strong analytical, leadership, presentation and interpersonal skills.
Fluency in English, Cantonese and Mandarin.