Job ref no.: CT3114630-01#8996

Responsible Officer (Type 1,4, 9)

Prestige Securities Limited

  • 5-day week
  • Discretionary bonus
  • Medical plan

Job Responsibilities:

  • Act as a Responsible Officer with management responsibilities and duties to supervise SFC Type 1, 4 and 9 Regulated Activities. Candidates with sufficient experience being Representatives for Type 1, 4 and Type 9 will be considered as well.
  • Assist top management in strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management.
  • Formulate, review and update the operational procedures to ensure full regulatory compliance.
  • Manage regulatory inquiries, inspections and other communication with regulators.

Job Requirements:

  • A holder of bachelor degree or above.
  • Current Responsible Officer / licensed representative with 3+ years management experience in SFC type 1, 4, 9 regulated activities.
  • Sound knowledge of SFO, SFC Code of Conducts and applicable laws and regulations.
  • Sound knowledge of operation, compliance, and risk management.
  • Attention to detail and strong analytical skill.
  • Strong leadership and team player with strong responsibility and integrity.
  • Good command of written and spoken Mandarin, Cantonese, and English.

We offer attractive remuneration package to the right candidates.

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More job information
Job ref no. CT3114630-01#8996
  • N/A
Job Function
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Senior management level
  • Degree