Responsible Officer for Securities Business (Type 1 & 4) (HK$45K - $60K) (Ref. No.: 27120)
Our client, a Financial Institution, is looking for high-caliber person to fill the position.
Job Duties
- 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.
Job Requirements
- 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.
- Job No.:
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27120
- Date:
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29/11/2024
- Job Category:
-
Banking
- Salary:
-
$Neg.
- Qualification:
-
Degree
- Apply Email:
-
[email protected]
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