Job ref no.: CT3118290-01#8859

Responsible Officer

AMAC Human Resources Consultants

Negotiable Per Month

Responsible Officer

  • University degree and/or professional qualifications
  • Proficient in spoken and written English & Chinese
  • Sound understanding of Securities and Futures Ordinance, regulations

and guidelines of relevant regulatory authorities and risk management

  • Experience in applying for a SFC license and setting up brokerage

company is definitely an advantage

  • At least 2 years experience with a R.O license in brokerage business
  • Self-motivated with strong analytical, leadership, management and

presentation skills, excellent communication and interpersonal skill
to interact effectively with all levels of staff and external parties
organization and problem solving skills

  • Mature, independent and work under pressure

Job Duties:

  • Act as a responsible officer and contact point to SFC and other

regulatory bodies

  • Implement business plan
  • Oversee the company's business and ensure business operations are in

compliance with the regulatory requirements, exchange rules and
regulations, company's policies and guidelines, including credit and
risk control management

  • Handle compliance cases and complaints and provide training to staff

on compliance related matters


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