Licensed Responsible Officer: Compliance & Operations Lead

HRDirect Consulting Limited; Hong Kong; On-site; HKD 480,000 - 760,000; Full time

Job summary

HRDirect Consulting Limited is seeking a Responsible Officer to supervise regulated activities for a licensed corporation in Hong Kong. The role requires handling management of daily operations and ensuring compliance with SFC rules, serving as the main contact with the regulator.

The ideal candidate holds an SFC RO license for Type 1/2/4/5/6/9, with 3+ years of relevant experience and some management exposure. Fluent English/Chinese and Cantonese/Mandarin are required.

Qualifications

• Current SFC licensed Responsible Officers in Type 1, 2, 4, 5, 6 or 9.
• Current SFC licensed Representatives with 3+ years in the above license types and some management experience.
• Sound knowledge on SFC regulatory requirements.
• Solid experience and/or understanding about front, middle and back operations, internal controls and risk management of relevant regulated activities.
• Good command of written and spoken English and Chinese, and spoken Cantonese and Mandarin.

Responsibilities

• Act as licensed Responsible Officer with responsibilities and duties to supervise the regulated activities of a licensed corporation.
• Manage and supervise the business operations.
• Comply with all applicable regulatory requirements and act as the contact with the SFC.
• Assist in formulating the business process, operations and internal controls of the licensed corporation or the SFC license applicant.

Skills

English

Chinese

Cantonese

Mandarin

Job description

HRDirect Consulting Limited is seeking a Responsible Officer to supervise regulated activities for a licensed corporation in Hong Kong. The role requires handling management of daily operations and ensuring compliance with SFC rules, serving as the main contact with the regulator.

The ideal candidate holds an SFC RO license for Type 1/2/4/5/6/9, with 3+ years of relevant experience and some management exposure. Fluent English/Chinese and Cantonese/Mandarin are required.