WE HAVE BOTH FULL-TIME RO ASSIGNMENTS AND FLEXIBLE-HOUR RO AVAILABLE OPPORTUNITIES

Responsible Officer (SFC Type 1, 4 & 9)

Responsibilities:

• Supervise SFC Type 1 & 4 & 9 regulated activities 
• Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities and make sure business in comply with applicable laws, rules and regulations
• To establish proper documentation of all regulated activities
• To handle compliance cases and complaints
• To assist in communicating with regulatory bodies
• Formulate, review and update the operational procedures to ensure full regulatory compliance
• Liaise with other professional parties and communicate with relevant authorities, such as SFC and Hong Kong Stock Exchange
• Participate in new fund product launch in the future and other ad hoc projects

Qualifications:

• License holder of Responsible Officer for Type 1, 4 and 9 regulated activities.
  
• Ready to be registered as RO with related experience as Licensed Representative will also be considered
• Good understanding of SFC Ordinance & Code of Conduct
• Experience and understanding of Front-end Trading (both Securities and Futures) operation and control
• Experience and understanding of Middle and Back office operation (including Clearing and settlement of CCASS & DCASS; FRR report review and Liquid capital calculation) 
• Good knowledge of SFC ordinance, regulations and guidelines of relevant regulatory bodies, e.g. SFC and HKEx