Responsible Officer (Type 1 or 4 or 9)

Job level Entry
Education Bachelor Degree
Language English
Location N/A
Employment type Full Time
Industry Others
Job function Banking / Finance > Others
Banking / Finance > Legal / Compliance
Accounting > Compliance
Published On 28/11/2016
ref. 035796

• University Degree or above in Finance, Economics, Banking or a business related discipline;
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control;
• Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills;
• Current and active SFC registered RO license Type 1/ 4/ 9
• Must be able to work under pressure;
• Good command of written and spoken English and Chinese (including Putonghua)

Key Responsibilities:
• Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm ;
• Manage daily operations to ensure full regulatory compliance;
• Comply with all applicable laws, rules and regulations and standard of good market practices;
• Act as Responsible Officer to supervise SFC Type 1 / 4 / 9 regulated activities;

Jo Cheung - 2627 5211