Job ref no.: A-50848

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. A-50848 (CT3116513-01#9116)
  • N/A
Job Function
Employment Term
  • Full-time
  • 8 years - 13 years
Career Level
  • Middle management level
  • Degree
  • Master's degree