關於我們
招聘
Responsible officers of RA Type 1/ 4/ 6 or 9 (Multiple Vacancies)

Responsibilities:

  • Act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of Type 1 or 4 or 6 or 9;
  • Formulate, review and update the operational procedures to ensure full regulatory compliance;
  • Establish proper documentation of all regulated activities;
  • Handle compliance cases and complaints;
  • Communicate with regulatory bodies;
  • Develop and implement the business and strategic planning.

 

Requirements:

  • An existing Responsible Officer registered under the SFC;
  • Strong network in financial activities covering HK and China markets will be a comparative advantage;
  • Good understanding of Securities and Futures Ordinance, SFC Code of Conduct and compliance rules;
  • 5 years of relevant working experience;
  • Good leadership, self-driven and entrepreneur mindset;
  • Candidates with more than 5 years of relevant RA licensed experience, and eligible for RO application will also be considered.