Director-Type 1,4,9 RO

4 days ago

hong kong, Hong Kong SAR China Donghai International Financial Holdings Company Limited 東海國際金融控股有限公司 Full time

Responsibilities Act as a Responsible Officer with the SFC for Type 1, Type 4 (Securities) 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. Manage daily operations to ensure full regulatory compliance. Function as a principal liaison with the SFC and facilitate the management of regulatory correspondence. Keep abreast of regulatory developments and advise the company on compliance matters. Engage in the formulation of new products and business initiatives to guarantee compliance with all regulatory standards and alignment with corporate objectives/targets. Requirements Current status of SFC Type 1,4,9 RO or possess the eligibility to act as an RO immediately. A minimum of 5 years of pertinent experience within the financial services sector, accompanied by a comprehensive understanding of SFC regulations and guidelines. A minimum of 3-5 years in a managerial capacity within a substantial financial institution. Proficiency in FRR is strongly preferred. A degree in Finance, Law, Business Administration, or related fields; advanced qualifications such as JD, MBA, or equivalent are preferred. Substantial experience in State-Owned Enterprises is highly desirable. Fluency in English and Cantonese and Mandarin is essential. Candidates with immediate availability will be highly preferred. #J-18808-Ljbffr

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