Responsible Officer

3 days ago

Hong Kong Island, Hong Kong SAR China CO FINANCIAL SERVICES LIMITED Full time

Add expected salary to your profile for insights Recruiting Entity: RA149 Licensed Corporation Company Background The Company is newly established with an ambitious business plan that involves securing SFC licenses for Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) regulated activities, with relevant virtual assets (“VA”) services. The company aims to build a comprehensive VA brokerage services platform, alongside a dedicated asset management arm offering fund and discretionary account management services which invest in VA. It will leverage its existing and prospective client relationships to drive these new ventures. The Company is currently applying for Type 1, 4 and 9 licence from the SFC. Key Responsibilities Assist with application for licenses in Type 149 regulated activities; Ensure the business operation in compliance with all relevant regulatory requirements and internal policies upon grant of licenses; Assist on managing the discretionary accounts and setup of the OFC if required; Have experience in publishing research reports and providing security advisory services; Provide advice and support to senior management on business activities and applicable laws; Handle any other ad‑hoc duties as required. Requirements Holder of unconditional SFC Type 1, 4 and 9 responsible officer qualifications; Minimum 5‑year solid experience in the industry; Minimum 2‑year hands‑on experience in Fund Management and / or discretionary account management of which the underlying investment involves Virtual Assets; Minimum 2‑year experience in managing and overseeing electronic trading system; Good experience in settlement and operations, including handling of client assets; Previous work experience in an exchange‑participant is preferred but not necessary; Degree in Finance, Economics, Business or other related disciplines are preferred; Sound understanding of SFO, regulations and guidelines of relevant regulatory authorities; Capable and confident on communication with the SFC. Remuneration Package Attractive package based on experiences and qualifications; Discretionary bonus based on business performance; 5 days a week, with annual leave. How to Apply Please send your latest CV with Expected Salary and Availability to , please quote the reference: R . Thank you Tiffany Chan Recruitment Officer ComplianceOne Consulting Limited #J-18808-Ljbffr

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