SEEK Asia Style Guide

Responsible Officer Type 1

Headland JCH Business Consultant
Salary negotiable
Posted on 26 Jan 2020

Responsible Officer Type 1

Headland JCH Business Consultant

Job Highlights

  • Responsible Officer
  • Type 1
  • Securities Trading, brokerage, bond

Job Description

Our client is a newly set up financial group in Hong Kong and going to apply SFC type 1 licenses. Currently she is looking for a high caliber candidate appropriate candidate to fulfill the following position:  Responsible Officer Type 1 
 

Responsibilities:

  • Supervise and monitor day-to-day operations, including all SFC regulated activities, credit risk control, to ensure all activities comply with HKSFC rules, regulations and regulatory compliance;
  • Review and update the operational and internal control procedures;
  • Prepare and maintain a proper documentation of operational policies and procedures;
  • Oversee Settlement and Operational activities;
  • Handle matters of compliance cases and complaints;
  • Provide support and assist senior management in business development and market plans;
  • Perform other duties as assigned

 

Requirements:

  • Current SFC Type 1 RO or Type 1 rep holder with minimum 2 - 3 years of supervisory experience in brokerage firm is highly preferred
  • Experience and understanding of Front-end Trading operation and control;
  • Experience and understanding of Middle and Back office operation (including Clearing and settlement of CCASS; FRR report review and Liquid capital calculation);
  • Good knowledge of SFC ordinance, regulations and guidelines of relevant regulatory bodies, e.g. SFC and HKEx;

Competitive salary package and fringe benefits are offered to the right candidate

Interested parties, please send your full resume with expected salary via the button “Apply Now” 

 

 

Data collected will be used for recruitment purpose only.

Additional Information

Career Level
Senior
Qualification
(N/A)
Years of Experience
5 years
Employment Type
Full Time, Permanent

Company Overview

JCH Business Consultant Ltd. / Headland JCH Business Consultant are a consultant group specialized in compliance license application and financial executive (RO) search firm in Hong Kong.  We are providing recruitment services for different financial group and more focus on the position related to Responsible Officer, CFO, Investment Manager and Project Manager....etc.

The strong and lasting relationships we build with all of our clients enables us to offer an outstanding recruitment service that results in us making successful placements again and again.

www.headlandjch.com  or www.compliancepass.com

Additional Company Information

Benefits & Others
Double pay, Education allowance, Five-day work week, Life insurance, Medical insurance, Performance bonus