Responsible Officer (RO) — Type 1 and Type 4 Regulated Activities

Integrity Construction & Development Securities Group Limited; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Integrity Construction & Development Securities Group Limited seeks a Responsible Officer to supervise SFC Type 1 and Type 4 regulated activities and manage the firm's operations.

You will lead internal controls and risk management, ensure regulatory compliance, liaise with the SFC, review client accounts and oversee trading, settlement, and client service.

Qualifications

• Hold valid Type 1 and Type 4 RO licenses issued by the SFC.
• Strong understanding of securities trading regulations and compliance requirements.
• Proficient in written and verbal communication in English, Cantonese and Mandarin.
• CVAP certification is preferred.
• Immediate availability is preferred.

Responsibilities

• Take the lead on setting up internal control and risk management processes, operations and infrastructure of the regulated business
• Ensure the firm's compliance with all applicable regulations and internal policies, and stay up-to-date with industry developments and regulatory changes
• Liaise with the SFC on related licensed matters
• Review and approve client account openings, transactions and client communications
• Oversee business operations including but not limited to trading, settlement, risk control and client service
• Formulate, review and update operations procedures to ensure compliance with relevant regulatory and reporting requirements
• Provide strategic guidance and support to the team, and collaborate with other departments to identify and mitigate potential risks
• Ad-hoc duties assigned by management

Skills

SFC RO licenses

Regulatory compliance

Multilingual: EN/Cantonese/Mandarin

Job description

Responsible Officer (RO) — Type 1 and Type 4 Regulated Activities

Serve as Responsible Officer for SFC Type 1 and Type 4 regulated activities, supervising and managing the firm's related operations.

Key responsibilities

• Take the lead on setting up internal control and risk management processes, operations and infrastructure of the regulated business
• Ensure the firm's compliance with all applicable regulations and internal policies, and stay up-to-date with industry developments and regulatory changes
• Liaise with the SFC on related licensed matters
• Review and approve client account openings, transactions and client communications
• Oversee business operations including but not limited to trading, settlement, risk control and client service
• Formulate, review and update operations procedures to ensure compliance with relevant regulatory and reporting requirements
• Provide strategic guidance and support to the team, and collaborate with other departments to identify and mitigate potential risks
• Ad-hoc duties assigned by management

About you

• Hold valid Type 1 and Type 4 RO licenses issued by the Securities and Futures Commission (SFC)
• Strong understanding of securities trading regulations and compliance requirements
• Proficient in written and verbal communication in English, Cantonese and Mandarin
• CVAP certification is preferred
• Immediate availability is preferred

Central, Central and Western District, HK