Job ref no.: CT3115703-01#0195

Responsible Officer (Type 9)

Up Recruitment

The client:

  • A HK listed holding company

What can the client offer?

  • Rapidly expanding business in HK & PRC
  • Opportunity to build your own team

What are your responsibilities?

  • Lead a team and supervise daily operations to ensure full regulatory compliance
  • Act as the Responsible Officer to oversee SFC Type 9 regulated activities
  • Responsible for writing, reviewing and maintaining proper documentation of all operations, policies and procedures
  • Provide assistance in communications with SFC and other regulators to ensure the operation is complied with all applicable laws, rules and regulations and standard of good market practices

What are the requirements?

  • Bachelor degree holder or above in Finance or related disciplines
  • Minimum 5 years or above related working experience
  • Current holder of SFC Responsible Officer license for Type 9 regulated activities
  • Sound knowledge of SFO, regulations and guidelines of regulatory authorities and risk management control
  • Good command of spoken and written English and Chinese (Cantonese & Mandarin)

Who would be suitable for the position?

  • Good team player, independent, self-driven, accountable and hardworking
  • Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills

Interest parties please submit your CV by clicking Apply Now for job application.

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More job information
Job ref no. CT3115703-01#0195
  • N/A
Job Function
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Middle management level
  • Degree