Title: SFC Type 1 Responsible Officer ("RO")

Key responsibilities:

- Serve as RO in managing daily operations in compliance with SFC regulations

- Supervise the firm's SFC regulated activities, liaise with SFC regulators and file / submit relevant SFC applications
 

- Oversight of audits and report results to the Board

Requirements:

- 5+ year of senior management experience at SFC Type 1 licensed firms i.e. stock brokerage 

- Current holder of SFC unconditional RO license for Type 1 regulated activity

- Good understanding of middle and back office operations and risk controls for stock brokerages

- Clean record with the SFC with no reprimands in the past

- Good command of written and spoken English and Chinese

职位：证监会第 1 类负责人员（“RO”）

薪资：每月HK$40-60k，最少1个月奖金

主要职责：

- 担任负责人，按照证监会的规定管理日常运营

- 监督公司受证监会监管的活动，与证监会监管机构联络并提交相关证监会申请

- 监督审计并向董事会报告结果

要求：

- 在证监会第 1 类持牌公司（即股票经纪公司）拥有 5 年以上高级管理经验 

- 目前持有证监会针对第 1 类受规管活动的无条件负责人牌照 

- 对股票经纪公司的中后台运营和风险控制有深入了解 

- 记录干净过去没有受到证监会的谴责 

- 良好的英语和中文书面和口语能力