Responsible Officer (SFC RO Type 1, 4 and 9)

  • Competitive Package Plus Inventive Plan
  • Hong Kong
  • Permanent, Full time
  • Mario Recruitment Limited
  • 15 Oct 18

We look for a fit & proper Responsible Officer who is eligible to supervise Type 1, 4 and Type 9 regulated activities for our client who is a reputable business with expansion plans in Hong Kong and China. The company manages discretionary accounts of equity portfolios and has fund management business.

Job Responsibilities:

  • To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities in Type 9 business in particular
  • To develop new discretionary management accounts
  • To provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
  • To formulate, review and update the operational procedures to ensure full regulatory compliance
  • To establish proper documentation of all regulated activities
  • To handle compliance cases and complaints
  • To assist in communicating with regulatory bodies

Job Requirements:

  • A holder of bachelor degree or above
  • A native or business professional level speaker of Cantonese, Mandarin or English
  • Having 7+ years of solid experience
  • Having sound knowledge of SFO, SFC codes & guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls
  • Current holder of SFC Responsible Office license for Type 4 and 9 RA preferred; experienced Licensed Rep will also be considered
  • Strong relationship management experience is highly preferred
  • Competitive incentive plan for business development 

Please submit your full resumeCE No. and current & expected packages to us via JobsDB. Applications with insufficient information will not be processed