Part Time Responsible Officer (SFC Type 1 & 2 License)

Aptitude Connect Limited; Hong Kong; Ibrido; HKD 827.000 - 1.378.000; Part-time

Vantaggi offerti da questo lavoro

Healthcare allowance

Descrizione del lavoro

Aptitude Connect Limited is seeking a Part Time Responsible Officer to support its planned SFC license. The role entails leading Type 1 and 2 regulated activities, coordinating with the SFC, and shaping the firm’s compliance framework to meet regulatory requirements.

Candidates should have a finance-related degree, 3+ years in financial services, and SFC RO accreditation or ability to obtain unconditional RO status. Strong communication in English and Chinese is essential.

Competenze

• Bachelor degree or above in finance, economics, or business-related fields.
• Be or be able to be accredited by SFC as unconditional Responsible Officer for Type 1 & 2 licenses.
• Minimum of 3 years of relevant experience in the financial services industry with securities/futures.
• Strong understanding of HK regulations and risk controls.

Mansioni

• Assist in SFC license application and set up processes and infrastructure.
• Act as Responsible Officer licensed by SFC for Type 1 and 2 activities.
• Serve as main liaison with SFC on licensing matters for Type 1 and 2 licenses.
• Develop and enhance the firm's compliance framework including policies and controls.
• Stay updated with changes in financial regulations and best practices.

Conoscenze

SFC Type 1/2 accreditation

Regulatory compliance

Communication skills

Bilingual English/Chinese

Formazione

Bachelor degree in finance/economics/business

Descrizione del lavoro

Part Time Responsible Officer (SFC Type 1 & 2 License)

Our client is a leading asset management firm, operating as a quantitative investment company with assets under management and is now aiming to apply for an SFC license to conduct Type 1 and 2 regulated activities in Hong Kong . Currently, they are seeking a Responsible Officer (Sleeping) of Type 1 and 2 to join their team.

RESPONSIBILITIES

• Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm
• Act as the Responsible Officer licensed by the Hong Kong Securities and Futures Commission (SFC), lead the overall management of the company's Type 1 and 2 regulated activities
• Act as the primary point of contract and liaison with the Hong Kong Securities and Futures Commission (SFC) for licensing matters regarding to the company’s Type 1 and 2 licenses
• Assist to develop, implement, and continuously enhance the firm’s comprehensive compliance framework, including policies, operation procedures, and controls manuals. Ensure that daily business operations comply with the regulations of SFC and internal compliance requirements
• Keeping up-to-date with changes in financial regulations and best practices

REQUIREMENTS

• Bachelor degree holder or above in finance, economics, or business-related fields
• Currently be or able be accredited by SFC as unconditional Responsible Officer for Type 1 & 2 licenses.
• Minimum of 3 years of relevant experience in the financial services industry. Experience in managing securities and futures dealing business.
• Be familiar with the regulatory framework of the Hong Kong Securities and Futures Commission and business operation procedures. Have a deep understanding of Hong Kong's securities market regulations, compliance requirements and risk controls.
• Strong communication and interpersonal skills, with the ability to effectively liaise with regulatory authorities and internal stakeholders
• Good command of written & spoken English and Chinese (including Mandarin)