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Job ref no.: CT3114630-01#5933

Responsible Officer (SFC Type 6)

Mario Recruitment Limited

Benefits
  • 5-day week
  • Discretionary bonus
  • Medical plan

We look for a fit & proper Responsible Officer who is eligible to supervise Type 6 regulated activities for our client who a corporate finance and advisory services institution in Hong Kong. We have both full-time RO assignments and flexible-hour RO opportunities.

Job Responsibilities

You will assist in preparing for SFC license applications and for related SFC regulatory duties reporting to senior executive management. Key responsibilities include:

  • To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities
  • To originate new deals and to support existing deals; to advise/evaluate complex deals and asset structures
  • To provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as due diligence execution;
  • To formulate, review and update the operational procedures to ensure full regulatory compliance
  • To establish proper documentation of all regulated activities
  • To handle compliance cases and complaints
  • To assist in communicating with regulatory bodies

Job Requirements

  • A holder of bachelor degree or above from reputable universities
  • Having 5+ years of solid experience in brokerage and investment banks or in buy-side asset managers in capacity of supervising regulated activities;
  • Current holder of SFC Responsible Office license for Type 6 RA preferred
  • Current holder of Type 6 Rep would also be considered
  • Possessing strong leadership, analytical, communication and presentation skills
  • A native or business professional level speaker of Cantonese, Mandarin or English

Please submit your full resume, CE No. and current & expected packages by clicking Apply Now. 

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More job information
Job ref no. CT3114630-01#5933
Salary
  • N/A
Job Function
Industry
Employment Term
  • Permanent
  • Part-time
  • Full-time
Experience
  • 5 years
Career Level
  • Senior management level
Education
  • Degree