Responsible officer (Type 4&9)

Hong Kong Job Consulting; Hong Kong; On-site; HKD 700,000 - 1,000,000; Full time

Job summary

Hong Kong Job Consulting is seeking a qualified Responsible Officer to supervise SFC Type 4 & 9 activities for a Hong Kong based financial group with multi-family office and external asset management businesses. The role requires a degree in finance or related disciplines and at least 5 years in a managerial capacity.

The successful candidate will oversee trading, settlement, risk control, and client services, while ensuring compliance with SFO and other regulatory requirements.

Qualifications

• Degree in finance, business or related disciplines.
• Existing/qualified Responsible Officer for SFC Type 4,9 regulated activities.
• At least 5 years of relevant working experience in a management role.
• Profound knowledge and experience of middle & back office operations related to fixed income, bond products, etc.
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities.
• Good command of written and spoken English and Chinese (Putonghua & Cantonese).
• Self-motivated, well organized with excellent interpersonal skills.
• Good command of written & spoken English and Chinese; Mandarin communication highly preferred.

Responsibilities

• Act as the Responsible Officer with management responsibilities and duties to supervise SFC Type 4 & 9 regulated activities.
• Oversee business operations including but not limited to trading, settlement, risk control, and institutional client service etc.
• Lead deal flows and execute transactions.
• Formulate, review and update the operations procedures to ensure compliance with relevant regulatory and reporting requirements.
• Keep abreast of domestic & overseas market information.
• Provide constructive advice on business strategies and operations.
• Supervise daily securities brokerage operations, including the account opening process, account maintenance and customer services.
• Monitor internet trades to ensure their compliance with internal guidelines and exchange regulations.
• Provide support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management.
• Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures.
• Ad-hoc duties assigned by the management.

Education

Degree in finance, business or related disciplines

Job description

About the job Responsible officer (Type 4&9)

A Hong Kong based financial group with Muti-Family Office and External Asset Manager business is now looking for a high-calibre Responsible Officer to join her company

Responsibilities

• Act as the Responsible Officer with management responsibilities and duties to supervise SFC Type 4 & 9 regulated activities
• Oversee business operations including but not limited to trading, settlement, risk control, and institutional client service etc.
• Lead deal flows and execute transactions
• Formulate, review and update the operations procedures to ensure compliance with relevant regulatory and reporting requirements
• Keep abreast of domestic & overseas market information
• Provide constructive advice on business strategies and operations
• Supervise daily securities brokerage operations, including the account opening process, account maintenance and customer services
• Monitor internet trades to ensure their compliance with internal guidelines and exchange regulations
• Provide support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
• Assist in writing and maintaining proper documentation of all operations, policies and procedures, including operational and risk control procedures
• Ad-hoc duties assigned by the management.

Requirements:

• Degree in finance, business or related disciplines
• Existing/ qualified Responsible Officer for SFC Type 4,9 regulated activities
• At least 5 years of relevant working experience as a management role
• Profound knowledge and experience of middle & back office operations related to fixed income business, bond products, etc.
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities
• Good command of written and spoken English and Chinese (Putonghua & Cantonese)
• Self-motivated, well organized with excellent interpersonal skills
• Good command of written & spoken English and Chinese. Good communication in Mandarin is highly preferred