Job ref no.: CT3119337-01#3365

Responsible Officer - Type 3 RO/License Holder - Global FinTech Firm

HamlynWilliams

Our client is a global e-commerce and banking facilitator which provides innovative cross-border payment and trading solutions to Fortune 500 e-com firms, on the one hand, and bank accounts in a prompt, cost-effective and strictly compliant way across UK, US, APAC areas.

 

Major Responsibilities

  • Provide oversight of SFC regulated activities in Type 3 business
  • Provide advice to senior management regarding regulatory changes, strategic planning
  • Monitor and improve risk and control policies and procedures and daily operational efficiency and ensure regulatory compliance
  • Maintain and develop new discretionary management accounts
  • Establish proper documentation of all regulated activities
  • Liase with regulatory bodies and act as the escalation point for compliance cases and complaints

 

Ideal Qualifications:

  • Bachelor degree or above in Business, Finance or related discipline
  • Type 3 RO license holder
  • 5+ years of experience in ETrading Platform, with strong relationship management experience
  • Strong knowledge of SFO, SFC codes & guidelines, regulations, and risk management controls
  • Solid communication, good negotiating and interpersonal skills
  • Ability to work independently under tight timeline
  • Strong people manager, able to lead teams and develop others
  • Excellent verbal and written communication skills

 

 

Interested applicants can send an updated CV directly by clicking Apply Now

(For experienced ROs, Competitive incentive plan for business development will also be considered under mutual agreement.)

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More job information
Job ref no. CT3119337-01#3365
Salary
  • N/A
Job Function
Industry
Experience
  • 5 years - 10 years
Career Level
  • Middle management level
Education
  • Degree