Responsible Officer

6 days ago

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

Responsible Officer (Type 1, 4,9 Full/ Part-Time) Our client is a family office which is establishing its licensed corporation in Hong Kong and targeting at primary project investments as well as secondary market securities trading. Job Description Act as a Responsible Officer with the SFC for Type 1, Type 4 and Type 9 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 1, 4 and 9 both unconditional RO status or eligibility to act as an RO for Type 1, 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. #J-18808-Ljbffr

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