Responsible Officer - Hedge Fund / Brokerage
Hong Kong, Hong Kong
source : RegionUP

Responsible Officer - Hedge Fund / Brokerage Description This person will be a leader within the fund repsonsible for : -

overseeing firmwide activity for SFC Type 1, 4, and 9 regulated activity and ensure all business activity is in compliance with the SFC's requirements and compliance expectations -

design and develop and operational scheme to ensure full firmwide compliance with all SFC requirements across various business activity -

act as key liaison to SFC regulator - organize and lead training on emerging regulation for sales / trading professionals -

partner with senior leadership on strategic initiatives This person should have : - demonstrated experience as a Type 1, 4 and 9 Responsible Officer within the retail or institutional brokerage industries in Hong Kong -

strong understanding of trading firm operations and compliance requirements from the SFC - 5+ years total working experience -

Fluent in English and Chinese languages Country Hong Kong Company MNC Salary Up to US$90,000 Working Hours Full-Time Contract Permanent Categories Hedge Funds / PE / Asset Management Industries null

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