Responsible Officer Type 9
Dakin Capital Limited
- Company Industries:Financial Services
Job Information
- Post Date:2018-05-28
- Career Level:Middle
- Location:Not Specified
- Salary:Salary negotiable
- Employment Type:Full Time
- Job Function:Dealing & Trading Equities / Capital Markets Wealth Management
Job Description
Responsibilities:
- Act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities
- 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
- Formulate, review and update the operational procedures to ensure full regulatory compliance
- Establish proper documentation of all regulated activities
- Handle compliance cases and complaints
- Assist in communicating with regulatory bodies
Requirements:
- Current holder of SFC R.O. license for Type 9 is a must
- Higher diploma holder or above in any disciplines
- 3 years’ relevant working experience in Asset Management firm
- Good command of English and Chinese including fluent in Putonghua is preferable
- Prior regulatory relationship management experience is preferred
- Strong leadership, analytical, communication and presentation skills
- Able to work under pressure, hardworking, initiative, responsible and attention to details;
- Immediate availability is preferred
We provide attractive remuneration package and fringe benefits for the right candidate. Interested candidates please send us a full resume with your current & expected salary and availability application by clicking "Apply Now".
All information provided by applicants will be treated in strict confidentiality and used for recruitment purpose only.
Company Info
Dakin Capital Limited (“Dakin Capital”), is a licensed corporation under the Securities & Futures Ordinance Chapter 571 (CE number BGC821) to engage in regulated activities type 6 (advising on Corporate Finance).
Dakin Capital is a specialist corporate finance firm based in Hong Kong. We are committed to providing professional services, holistic financial advice and constructive approach to our clients’ unique needs. Our professional staff possesses unique knowledge, proficiency, and high standards of integrity and ethics. Leveraging on our team’s extensive experience in IPOs, takeovers, spin-offs, mergers and acquisitions, and compliance with Listing Rules, we aspire to achieve optimal results for our clients.
Dakin Financial Group is currently licensed to carry on Type 1 (dealing in securities), Type 2 (dealing in futures contracts), Type 6 (advising on corporate finance) and Type 9 (asset management) regulated activities under the SFO.
Dakin Financial Group is principally engaged in (i) the business of advising on corporate finance; (ii) the business of dealing in securities and futures contracts; (iii) asset management.
Position | Company | Location | Update |
---|