Responsible Officer (Type 1,4,9)

Tung Yat Securities Limited; Hong Kong; Sur place; HKD 900 000 - 1 500 000; Plein temps

Résumé du poste

Tung Yat Securities Limited is seeking an experienced professional to act as the approved Responsible Officer for Type 1, 4 and 9 activities in Hong Kong. You will supervise securities dealing, advisory and asset-management conduct and oversee ongoing post-licensing obligations with the SFC.

The role requires strong knowledge of the SFO and Code of Conduct, with 3+ years of hands-on experience in regulated activities, and a proven track record in internal controls and regulator liaison.

Qualifications

• Currently approved, previously approved, or immediately eligible for SFC approval as a Responsible Officer for Types 1, 4 and 9.
• Minimum 3 years of relevant hands-on experience in securities dealing, securities advisory, asset management or related regulated activities.
• Proven track record of supervising regulated activities and liaising with the SFC.
• Sound knowledge of the Securities and Futures Ordinance, SFC Code of Conduct and requirements for licensed corporations.

Responsabilités

• Act as the approved Responsible Officer for Type 1/4/9 regulated activities and supervise conduct of securities dealing, advisory and asset-management businesses.
• Oversee licence maintenance, variation, annual returns and post-licensing obligations to the SFC.
• Establish, review and update compliance manuals, internal control policies and risk-management frameworks.
• Monitor day-to-day activities including KYC/CDD/EDD, AML/CFT, client protection and portfolio management.
• Conduct periodic compliance reviews, risk assessments and remediation; mitigate compliance risks.
• Ensure Licensed Representatives comply with SFC requirements and internal policies.
• Serve as primary point-of-contact with SFC and other regulators.
• Prepare, review and submit regulatory notifications, returns and disclosures on time.
• Respond to SFC queries and inspections; manage remedial actions.

Connaissances

Regulatory compliance

Risk management

SFC liaison

Supervision experience

English & Mandarin

Internal-control frameworks

Formation

Bachelor's degree or above in Finance, Accounting, Law, Economics

Description du poste

-Act as the approved Responsible Officer for SFC Type 1, 4 and 9 regulated activities and assume ultimate supervisory responsibility for the conduct of securities dealing, securities advisory and asset-management businesses

-Oversee licence maintenance, variation, annual returns and all ongoing post-licensing obligations to the SFC

-Establish, implement, review and update compliance manuals, internal control policies, operational procedures and risk-management frameworks covering Type 1/4/9 businesses

-Monitor day-to-day business activities, client on-boarding (KYC/CDD/EDD), AML/CFT, client-asset protection, financial-resources rules, trade execution and portfolio management

-Conduct periodic compliance reviews, risk assessments and gap remediation; identify, elevate and mitigate compliance and operational risks

-Ensure all Licensed Representatives (LR) perform their duties in compliance with SFC requirements and internal policies

-Serve as the primary point-of-contact with the SFC and other relevant Hong Kong regulators

-Prepare, review and submit all regulatory notifications, periodic returns, reports and disclosures in a timely and accurate manner

-Respond fully and promptly to SFC queries, inspection requests and follow-up actions; manage regulatory inspections and remedial plans

Requirements:

-Currently approved, previously approved, or immediately eligible for SFC approval as a Responsible Officer for Types 1, 4 and 9.

-Meet SFC RO experience requirement: minimum 3 years of relevant experience within the last 6 years for the respective regulated activities

-Minimum 3 years of relevant hands-on experience in securities dealing, securities advisory, asset management, compliance or related regulated activities.

-Proven track-record of supervising regulated activities, implementing internal-control frameworks and liaising with the SFC

-Sound knowledge of the Securities and Futures Ordinance, SFC Code of Conduct and requirements applicable to licensed corporations.

-Bachelor's degree or above in Finance, Accounting, Law, Economics or a related discipline

-Excellent spoken and written English and Mandarin, Cantonese is an advantage