Responsible Officer 1 & 4 Responsible Officer 1 & 4 …

Mario Recruitment Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 25 Sep 19
Competitive Package
Mario Recruitment Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 25 Sep 19
Competitive Package
We look for a fit & proper Responsible Officer who is eligible to supervise Type 1 and Type 4 regulated activities for our client. They have stable business in health and wealth management, financial planning and consultancy services.

Job Responsibilities:

  • To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities in Type 1 & 4  
  • To review on bonds selling and trading activities 
  • To formulate, review and update the operational procedures to ensure full regulatory compliance
  • To develop and expand business opportunities in Asia market 
  • To assist in communicating with regulatory bodies

Job Requirements:

  • A holder of bachelor degree or above
  • Having 5+ years of solid experience with front line experience 
  • Experience in equities/bonds selling/trading activities will be required
  • Having sound knowledge of SFO, SFC codes & guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls
  • Current holder of SFC Responsible Office license for Type 1 RA (unconditional) preferred
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