Responsible Officer Type 1
Besteam Personnel Consultancy Limited
Kowloon
1天前

Degree holder of Finance, Economics, Accounting, Law or other related disciplines

  • Minimum 5 years solid experience in financial industry;
  • Minimum 3 years representative experience of Type 1 regulated activity;
  • Currently SFC registered RO for RA 1 license;
  • Having sound knowledge of SFO, SFC codes & guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls;
  • Competent knowledge in equity market & different financial product;
  • Possessing strong leadership, analytical, communication and presentation skills;
  • A native or business professional level speaker of Cantonese, Mandarin or English;
  • Immediate available is highly preferred

    Key responsibilities

  • To act as a Responsible Officer with management responsibilities and duties to SFC Type 1 regulated activities;
  • 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 the regulated activity;
  • Monitor business and financial performance against the plans and ensure regular reporting (FRR);
  • To handle compliance cases and complaints;
  • To assist in communicating with regulatory bodies;
  • Familiarize with securities trading back office

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