Mario Recruitment Limited
Mario Recruitment is a leading professional recruiting firm in Hong Kong SAR, the expert at recruiting Responsible Officers (RO), Licensed Representatives (LR), Chief Compliance Officers (CCO), Chief Financial Officer (CFO), Risk Officers, and Fund Accountants.
We operate across financial services institutions in the private and public sectors, dealing in permanent positions. Our clients include well-established and listed securities firms, asset management firms, and other financial institutions operating in Hong Kong.
Mario Recruitment is a member of Compliance Consulting Limited, established in 2003, a renowned consultancy in SFC licensing, compliance consulting, Compliance Outsourcing, Onsite Training and Compliance Solutions in Hong Kong. Visit our websites on www.MarioRecruitment.com and on www.HKCompliance.com
Responsible Officer (SFC RO Type 6 Corporate Finance)
jobsDB Ref. JHK100003004918858
We look for a fit & proper Responsible Officer who is eligible to supervise Type 6 (Corporate Finance) regulated activities for our clients who are reputable brokerage firms, asset managers, hedge funds and other financial institutions in Hong Kong.
We have both full-time RO assignments and flexible-hour RO opportunities.
What your role is
You will assist in preparing for SFC license applications and for related SFC regulatory duties reporting to senior executive management. Key responsibilities include:
- To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities;
- To originate new deals and to support existing deals; to advise/evaluate complex deals and asset structures;
- To provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as due diligence execution;
- To formulate, review and update the operational procedures to ensure full regulatory compliance
- To establish proper documentation of all regulated activities;
- To handle compliance cases and complaints;
- To assist in communicating with regulatory bodies;
Who you are
- Having 3+ years of solid experience corporate finance firm in capacity of supervising regulated activities;
- Having sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines (including The Codes on Takeovers and Mergers and Share Buy-backs), regulations and guidelines of relevant regulatory authorities and risk management controls.
- Current holder of SFC Responsible Office license for Type 6 RA preferred; experienced Licensed Rep will also be considered;
- Having Prior regulatory relationship management experience is preferred;
- Possessing strong leadership, analytical, communication and presentation skills;
- A holder of bachelor degree or above;
- A native or business professional level speaker of Cantonese, Mandarin or English;
Please submit your full resume, CE No. and current & expected packages to us via JobsDB. Applications with insufficient information will not be processed.
Follow us also on LinkedIn for other current opportunities: https://www.linkedin.com/company/mario-recruitment-limited
Mario Recruitment Limited EA License number is 49919.