Responsible Officer (SFC Type 9)


Job ref.:

8 Apr 2021


Hong Kong




The client:

· A financial and accounting services institution

What can the client offer?

· Valuable working experience in a sizable organization and leading edge projects

· Attractive benefit package

What are your responsibilities?

· Act as a Responsible Officer to oversee SFC Type 9 regulated activities

· Responsible for evaluations and investment strategy; and provide market comment to investors

· Perform business development and marketing implementation

· Responsible for writing, reviewing and maintaining proper documentation of all operations, policies and procedures

· Provide assistance in communications with SFC and other regulators to ensure the operation is complied with all applicable laws, rules and regulations and standard of good market practices

What skills/qualification will you need?

· Degree Holder in Finance, Banking or related disciplines

· Minimum 5 years of management experience, with knowledge of operations, compliance, risk management

· Holder of requisite regulatory license to act as RO for Type 9

· Familiar with SFO/SFC code, guidelines and risk management

· Good command of spoken and written English and Chinese (Cantonese & Mandarin)

Who would be suitable for the position?

· Good team player, independent, self-driven, accountable and hardworking

· Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills

Apply here

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