Responsible Officer 1 & 4
Mario Recruitment Limited
Hong Kong, Hong Kong
15天前
source : eFinancialCareers Ltd.

Job Responsibilities :

  • To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities in Type 1 & 4 in particular
  • 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
  • Having 5+ 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 1 and 4 RA (unconditional) preferred
  • Please submit your full resume , CE No. and current & expected packages to us via JobsDB . Applications with insufficient information will not be processed

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