Responsible Officer(type1,4,9) Full or part time

Job Description:<div><br></div><div>- Act as a Responsible Officer with the SFC for Type 1, Type 4 and Type 9 regulated activities.</div><div><br></div><div>- Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and guidelines.</div><div><br></div><div>- Provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures.</div><div><br></div><div>- Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks.</div><div><br></div><div>- Serve as the primary/secondary contact with the SFC and handle all regulatory filings, reporting, and communications.</div><div><br></div><div>- Keep abreast of regulatory developments and advise the company on compliance matters.</div><div><br></div><div>Job Requirements:</div><div><br></div><div>- Current SFC Type 1, 4 and 9 both unconditional RO status or eligibility to act as an RO for Type 1, 4 and 9 regulated activities.</div><div><br></div><div>- At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.</div><div><br></div><div>- Strong leadership and communication skills, with the ability to work effectively with all levels of the organization.</div><div><br></div><div>- Detail-oriented and highly analytical, with a proactive approach to problem-solving.</div><div><br></div><div>- A degree in Finance, Law, Business Administration, or related fields</div><div><br></div><div>- Fluency in English and Cantonese or Mandarin is essential.</div>