Responsible Officer

7 hours ago


WorkFromHome, Hong Kong SAR China iPlatform HR Service Limited Full time

Responsible Officer (Type 4,9 Flexible Hour) Act as a Responsible Officer with the SFC for Type 4 and Type 9 (Asset Management) regulated activities. Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and guidelines. Provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures. Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks. Serve as the primary/secondary contact with the SFC and handle all regulatory filings, reporting, and communications. Keep abreast of regulatory developments and advise the company on compliance matters. Job Requirements: Current SFC Type 4 and 9 both unconditional RO status or eligibility to act as an RO for Type 4 and 9 regulated activities. At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines. Strong leadership and communication skills, with the ability to work effectively with all levels of the organization. Detail-oriented and highly analytical, with a proactive approach to problem-solving. A degree in Finance, Law, Business Administration, or related fields. Fluency in English and Cantonese or Mandarin is essential. Your application will include the following questions: How would you rate your Cantonese language skills? Which of the following statements best describes your right to work in Hong Kong? What's your expected monthly basic salary? How many years' experience do you have as a Responsible Officer? How many years' experience do you have in the financial services industry? How many years of asset management experience do you have? Which of the following languages are you fluent in? #J-18808-Ljbffr



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