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Hong Kong

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Experience

Education level

Benefit

Industry

1 Job function

Hong Kong

Work type

Listed any time

Experience

Education level

Benefit

Industry

Treasury

About 44 jobs

Quick reply

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

3 to 5 years

Bachelor

$30K-40K/Mth

Ro - Compliance

Active in the last 3 days

Banking Insurance Specialist

1 to 3 years

Diploma of Secondary School

$28K-42K/Mth

WallStone Partners & Company Limited

Active in the last 3 days

Quick reply

Financial Anchor/Tutor 财经主播/财经講師

No experience limit

Bachelor

$18K-27K/Mth

HomilyChart

外汇融资经理，FX Manager, Large SOE,

3 to 5 years

Bachelor

Salary negotiable

Green Lake Executive Search Co. Limited

香港證監會持牌 (1 + 4 + 9 類) 負責人員 (Sole RO)

5 to 10 years

Bachelor

$20K-30K/Mth

SFC Type 1,4,9 RO status
Strong understanding of SFC regulations
Competitive salary and benefits

Advent financial Holdings Limited

Active in the last 3 days

Quick reply

Investment Consultant/ Treasury Specialist 55-62K (Welcome RM to Apply)

3 to 5 years

Bachelor

$55K-83K/Mth

Bauer Kaiser & Co Limited

Active in the last 3 days

理財經理

3 to 5 years

Bachelor

$30K-45K/Mth

月薪30,000-50,000
提供基於業績的獎金計劃
學士學位，3年以上工作經驗

YFLIFE - AGENCY卓匯國際

Asset Management RO

3 to 5 years

Bachelor

Salary negotiable

Licences

PhotonPay

Quick reply

財富管理見習生

No experience limit

Bachelor

$8K-10K/Mth

學士學曆要求
參與投資組合建議
市場調研與分析

YUI SING DEVELOPMENT COMPANY

Active in the last 3 days

Quick reply

资金出纳（香港）

3 to 5 years

Bachelor

$17K-25K/Mth

本科及以上学历要求
需持有会计上岗证
一年以上全套财务核算经验

丹山资本

Active in the last 3 days

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

New tab

Ro - Compliance

Financial Services

Published on 06-20

HK $30K-40K/Month

Bachelor

3 to 5 years

Work visa required

Full Time

Yau Tsim Mong,Tsim Sha Tsui

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Job Description翻譯為中文

Job Description:

- Act as a Responsible Officer with the SFC for Type 1, Type 4 and Type 9 regulated activities.

- Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and guidelines.

- Provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures.

- Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks.

- Serve as the primary/secondary contact with the SFC and handle all regulatory filings, reporting, and communications.

- Keep abreast of regulatory developments and advise the company on compliance matters.

Job Requirements:

- 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.

- At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.

- Strong leadership and communication skills, with the ability to work effectively with all levels of the organization.

- Detail-oriented and highly analytical, with a proactive approach to problem-solving.

- A degree in Finance, Law, Business Administration, or related fields

- Fluency in English and Cantonese or Mandarin is essential.

Languages

English

Mandarin

Cantonese

Skills

SFC

cgwfinance cgw

Ro - Compliance · RO - Compliance Manager

Recently active

Job Location

海港城-Tsim Sha Tsui, Yau Tsim Mong

尖沙咀廣東道

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Location

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Company Overview

Ro - Compliance

Financial Services

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