• RO Job description

  • To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities;
  • To provide advice and support to top management on futures daily operations in compliance with all relevant regulatory requirements and applicable laws as well as due diligence execution;
  • 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;

   

  Requirements: 

   

  • Having 5+ years of solid experience Futures/Securities firm in capacity of supervising regulated activities;
  • Having sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines (including The Codes on Takeovers and Mergers and Share Buy-backs), regulations and guidelines of relevant regulatory authorities and risk management controls.
  • Current holder of SFC Responsible Office license for Type 2 RA; experienced Licensed Rep will also be considered;
  • Having Prior regulatory relationship management experience is preferred;
  • Possessing strong leadership, analytical, communication and presentation skills;
  • A holder of bachelor degree or above;
  • A native or business professional level speaker of Cantonese, Mandarin or English

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Donghai International Financial Holdings Company Limited （ Donghai International ), a state-owned financial enterprise which is 100% owned by Donghai Securities, is approved by China Securities Regulatory Commission in August 2015. Donghai International has been licensed by the Securities & Futures Commission of Hong Kong for regulated activities such as Type 1 - Dealing in Securities, Type 4 - Advising on Securities and Type 9 - Asset Management activities.