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

Job description

Job Description

Responsibilities:

- Act as a Responsible Officer with the SFC for Type 1, Type 4 (Securities) and Type 9 (Asset Management) 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 contact with the SFC and handle all regulatory filings, reporting, and communications.

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

- Participate in the development of new products and business initiatives to ensure they meet all regulatory requirements.

- Provide training and support to staff on compliance-related issues and promote a strong culture of compliance and ethics.

Qualifications:

- Current SFC Type 1,4and 9 RO status or eligibility to act as an RO for Type 1,4and 9 regulated activities.

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

- Proven track record of managing compliance functions and interfacing with regulatory bodies.

- 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; advanced qualifications such as JD, MBA, or equivalent are preferred.

- Fluency in English and Cantonese or Mandarin is essential.

Salary: Negotiable

Job Type: Full-time, Part-time

Salary: $6,250.00 to $37,710.35 (monthly)

Time:

• Monday to Friday

Benefits:

• Paid annual leave

• Paid sick leave

• Medical insurance

Supplemental compensation:

• Performance bonuses