Senior Regulatory Compliance Officer, SFC RO Expert

Donghai International Financial Holdings Company Limited 東海國際金融控股有限公司

Hong Kong

On-site

HKD 1,100,000 - 1,500,000

Full time

14 days+

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Job summary

Donghai International Financial Holdings Company Limited seeks an experienced Responsible Officer to manage SFC Type 1 activities and oversee compliance with all relevant laws, rules, and SFC guidelines. The role requires leadership in policy development, monitoring, and regulatory filings, with strong input on new products and business initiatives.

The ideal candidate has at least five years of Type 1 RO experience, fluency in English and Cantonese or Mandarin, and a related finance, law, or

Qualifications

Minimum 5 years of experience in SFC Type 1 RO capacity.
At least 5 years in financial services with strong understanding of SFC regulations.
Solid experience dealing with SFC on-site inspection.
Sound knowledge in FRR.
Degree in Finance, Law, Business Administration, or related field.
Fluency in English and Cantonese or Mandarin is essential.
Immediate availability preferred.

Responsibilities

Act as experienced Responsible Officer with the SFC for Type 1 activity.
Oversee and ensure compliance with laws, rules, and regulations including the SFC Code of Conduct.
Provide guidance on development, implementation, and monitoring of compliance policies and procedures.
Monitor trading activities and conduct regular compliance reviews and risk assessments.
Serve as primary contact with the SFC and handle regulatory filings, reporting, and communications.
Keep abreast of regulatory developments and advise the company on compliance matters.
Participate in development of new products to meet regulatory requirements.
Manage daily operations to ensure full regulatory compliance.