Responsible Officer (Type 1 & 4)
jobsDB Ref. JHK100003004994989
- Act as Responsible Officer to supervise SFC Type 1 and 4 regulated activities
- To provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws.
- Supervise dealing activities and ensure daily operation including backoffice compliant with the SFO and statutory regulations
- Assist in writing and maintaining proper document of all operations, policies and procedures.
- Support senior management and assist in various business development exercise
- Any other ad hoc projects assigned by top management
- A degree holder or above in Accounting, Finance or other related disciplines
- Possess relevant qualifications to register with SFC as RO for Type1 & 4
- Experienced Licensed Rep will also be considered
- Experience in overseeing the overall operation of brokerage business is advantage
- Understanding of SFO, regulations and guidelines of relevant regulatory authorities
- Proficiency in both spoken and written English, Chinese and Putonghua
For interested candidates, please click APPLY NOW or contact 3102 3363 for any enquirers.
Interested candidates, please contact us at 31023363 for company details before applying.