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Job ref no.: CT3114387-01#8730

Responsible Officer (RO1)

Conners Recruitment

Our client, a well-established investment bank to invite high caliber candidates to join their company.

Responsibilities

  • Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm.
  • 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

Desired Skills & Experience:

Requirements:

  • Degree holder in Accounting, Business Administration or equivalent;
  • Current holder of SFC unconditional Responsible Officer license for Type 1 regulated activities. Experience in Type 2, 4 and 5 activities will be an advantage.
  • Experience in dealing with mainland clients will be a big plus
  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
  • Solid understanding about brokerage, wealth management and back office operations, risk controls and investment process will be a plus.
  • Strong analytical, communication and interpersonal skills
  • Ability to work independently, familiar with securities dealing operations
  • Good command of written & spoken English and Chinese (Mandarin and Cantonese)

To apply, please send your detailed resume by clicking Apply Now or contact Boei Yan at 3460 2012 for a confidential discussion.

Only shortlisted candidates will be notified.

All data collected will be used for recruitment purpose only & will be used strictly confidential.

Conners Consulting Limited

2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong

Tel: (852) 3996 8090 Website: http://www.connersconsulting.com/

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3114387-01#8730
Salary
  • N/A
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 0 year - 5 years
Career Level
  • Non-management level
Education
  • Degree