CompliancePlus is an independent consulting firm focused on providing a complete range of proven and reliable compliance solutions to licensed firms, fund management companies and hedge fund managers in Asia. We were awarded "The Best Compliance Services Provider" in 2013 & 2017 by AsianInvestor. Our...

 

CompliancePlus is an independent consulting firm focused on providing a complete range of proven and reliable compliance solutions to licensed firms, fund management companies and hedge fund managers in Asia. We were awarded "The Best Compliance Services Provider" in 2013 & 2017 by AsianInvestor. Our dedicated team of compliance officers has years of professional experience equipped with in-depth knowledge of both functional and compliance experience in managing and minimizing regulatory, operational and reputational risks.  

As an award-winning industry leader providing compliance solutions and insights to financial institutions and hedge fund managers in Asia, CompliancePlus brings the most comprehensive and value-added compliance services to our clients, enhancing their competitiveness in the finance industry.

Please visit our website http://www.complianceplus.hk to learn more about us.

 

 

SFC Type 7 or Type 10 Responsible Officers (RO)

Job level Senior
Work exp Minimum 5 Years
Education Bachelor Degree
Location
Central
Employment type Full Time
Benefits Dental plan, 13-month pay, 5-day week, Medical plan, Performance bonus
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Credit
Banking / Finance > Others
Banking / Finance > Dealing / Trading
Published On 03/01/2020

 

Key Responsibilities:

  • Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm 
  • 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

Requirements:

  • Current holder of SFC unconditional Responsible Officer license for Type 7 or Type 10 regulated activities preferred. However, current Type 7 or Type 10 Representatives will also be considered if they have the abovementioned experiences.
  • 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
  • Good command of written & spoken English and Chinese (including Mandarin)

Interest parties please send your full resume with expected salary and availability 

 

All information will be kept strictly confidential