responsible officer

Job Responsibilities

• Responsible for supervising and managing the compliance of the company's securities trading business, ensuring that it meets the regulatory requirements of the Hong Kong Securities and Futures Commission (SFC) for licensed entities.

• As a licensed representative, directly participate in 1st (securities trading), 4th (providing securities advice) and 9th (providing asset management) license-related business, including customer account review, investment advice screening, fund and portfolio management process monitoring, etc.

• Coordinate internal compliance training, policy updates, and risk assessments, and regularly submit compliance reports and improvement recommendations to senior management and the compliance committee.

• Coordinate external audits, SFC inspections and regulatory communications, properly preserve transaction records, customer data and internal control documents, and ensure traceability and integrity.

• Handle other temporary assignments.

• Bachelor's degree from a recognized university, majoring in finance, law, accounting, business management or related fields; those with CFA, CISI or HKSI CE certificates are given priority.

• Proficient in Cantonese, Mandarin and English, able to write and review fluent Chinese and English compliance documents, regulatory responses and internal policy manuals.

• Familiar with the core regulations such as the Securities and Futures Ordinance, the Anti-Money Laundering and Terrorist Financing (Amendment) Ordinance, and the SFC's Code of Conduct for Licensees, with practical application experience.

• Must be a permanent resident of Hong Kong, or hold a valid high-end talent pass (High Talent Pass), excellent talent entry plan (Excellent Talent Pass), non-local graduate retention/hireback arrangement (IANG), dependent visa or other legal identity approved to work in Hong Kong.

• Proficient in financial modeling and data analysis tools (such as Excel, Bloomberg).