Job ref no.: CT3116513-01#1385

Responsible Officer (4&9) and (1&4)

AMAC Human Resources Consultants

Negotiable Per Month

Responsible Officer (4&9) and (1&4)

  • University Degree or above in Finance, Economics, Banking or a

business related discipline

  • Sound knowledge of SFO, regulations and guidelines of relevant

regulatory authorities and risk management control

  • Over 8 years' relevant experience in the financial industry; +5 years

of Type 4 & 9 RO

  • Ability to work under pressure, with strong analytical, leadership

presentation and interpersonal skills

  • Current SFC registered RO unconditional license Type 4 & 9 (a must)
  • Must be smart, proactive, tactful, good analytical skill and business

sense and able to work under pressure

  • Good command of written and spoken English and Chinese (including


  • Working experience with Chinese firm is preferred

Job Duties:

  • Act as Responsible Officer with management responsibilities and duties

to supervise SFC regulated activities of the firm

  • Manage daily operations to ensure full regulatory compliance
  • Comply with all applicable laws, rules and regulations and standard of

good market practices

  • Work with management team to execute business strategies and developed

brokerage business

  • Act as Responsible Officer to supervise SFC Type 4 & 9 regulated


  • Provide support and assist to senior management on firm's investment



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More job information
Job ref no. CT3116513-01#1385
  • N/A
Job Function
  • 8 years - 13 years
Career Level
  • Middle management level
  • Degree