香港證監會持牌 (1 + 4 + 9 categories) Responsible Officer (Sole RO)

<p>Job description</p><p><strong>Job Description</strong></p><p><strong>Responsibilities:</strong></p><p>- Act as a Responsible Officer with the SFC for Type 1, Type 4 (Securities) and Type 9 (Asset Management) regulated activities.</p><p>- Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and guidelines.</p><p>- Provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures.</p><p>- Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks.</p><p>- Serve as the primary contact with the SFC and handle all regulatory filings, reporting, and communications.</p><p>- Keep abreast of regulatory developments and advise the company on compliance matters.</p><p>- Participate in the development of new products and business initiatives to ensure they meet all regulatory requirements.</p><p>- Provide training and support to staff on compliance-related issues and promote a strong culture of compliance and ethics.</p><p><strong>Qualifications:</strong></p><p>- Current SFC Type 1,4and 9 RO status or eligibility to act as an RO for Type 1,4and 9 regulated activities.</p><p>- At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.</p><p>- Proven track record of managing compliance functions and interfacing with regulatory bodies.</p><p>- Strong leadership and communication skills, with the ability to work effectively with all levels of the organization.</p><p>- Detail-oriented and highly analytical, with a proactive approach to problem-solving.</p><p>- A degree in Finance, Law, Business Administration, or related fields; advanced qualifications such as JD, MBA, or equivalent are preferred.</p><p>- Fluency in English and Cantonese or Mandarin is essential.</p><p>Salary: Negotiable</p><p>Job Type: Full-time, Part-time</p><p></p><p>Salary: $6,250.00 to $37,710.35 (monthly)</p><p></p><p>Time:</p><ul><li><p>Monday to Friday</p></li></ul><p>Benefits:</p><ul><li><p>Paid annual leave</p></li><li><p>Paid sick leave</p></li><li><p>Medical insurance</p></li></ul><p>Supplemental compensation:</p><ul><li><p>Performance bonuses</p></li></ul><p><br></p>