Responsible Officer (Type 1,2)

Our client, a leading financial institution, is looking for a RO (Type 1,2) to assist with their expansion.

Key Responsibilities

• Act as the Responsible Officer for Type 1 and Type 2 regulated activities under the SFO.
• Ensure that all business operations are in compliance with the relevant regulations.
• Provide guidance and support to staff on compliance matters.
• Prepare and submit regulatory reports, ensuring accuracy and timeliness.
• Monitor changes in legislation and recommend necessary adjustments to company policies.
• Liaise with regulatory bodies and external auditors.
• Conduct training sessions to promote compliance awareness within the organization.

Requirements

• Bachelor’s degree in Finance, Business Administration, or a related field.
• Minimum 6 years of relevant experience in a financial services environment.
• SFC licensing for Type 1 and Type 2 regulated activities is required.
• Strong understanding of the Securities and Futures Ordinance and related regulations.
• Excellent analytical and problem-solving skills.
• Strong communication and interpersonal skills.
• Proficient in both English and Chinese (Cantonese/Mandarin).

What We Offer

• Competitive salary and benefits package.
• Opportunities for professional development and career advancement.
• A dynamic and supportive work environment.