Senior Responsible Officer (Types 1, 4 and 9 RO)

OCI International Holdings Limited; Hong Kong; Presencial; HKD 2.500.000 - 3.600.000; Jornada completa

Descripción de la vacante

OCI International Holdings Limited is seeking a Senior Responsible Officer to oversee the firm’s regulated businesses under SFC Types 1, 4 and 9. The role involves substantive management and supervision of securities dealing, advisory and asset management activities, with strong emphasis on risk controls and compliance.

The candidate will bring at least ten years of relevant experience and five years in an RO or senior management role within a HK-licensed financial institution, demonstrating

Formación

• 10+ years of experience in securities, investment management or related financial services.
• At least 5 years in RO or senior management supervising regulated businesses.
• Proven experience with SFC licensing, inspections and regulatory requirements.
• Degree in Finance/Economics/Accounting or related discipline; professional qualifications are a plus.

Responsabilidades

• Act as the firm’s Responsible Officer for SFC Types 1, 4 and 9, with approvals and licensing.
• Provide day-to-day supervision of securities dealing, advisory and asset management activities.
• Oversee investment management and internal control processes in line with client mandates and regulatory rules.
• Coordinate with compliance, risk and operations on risk management and governance.
• Lead licensed personnel and supervise business teams, ensuring clear responsibilities and oversight.

Conocimientos

Securities industry

Investment management

Regulatory compliance

Leadership

English & Chinese

Educación

Finance degree

CFA/CPA advantageous

Descripción del empleo

Senior Responsible Officer (Types 1, 4 and 9 RO)

We are seeking an experienced Responsible Officer to join our management team, oversee the relevant regulated businesses and support the firm's continued development. This is a full-time position involving substantive management and supervisory responsibilities.

Key responsibilities

• Act as the firm's Responsible Officer for SFC Types 1, 4 and 9, subject to the relevant approvals and licensing conditions.
• Provide effective day-to-day supervision of the firm's securities dealing, securities advisory and asset management activities, consistent with its actual business scope.
• Oversee investment management and business processes, including adherence to client mandates, investment restrictions, internal policies and applicable regulatory requirements.
• Work closely with compliance, risk and operations teams to maintain effective internal controls, manage conflicts of interest and address business and operational risks.
• Lead or coordinate responses to SFC enquiries, inspections and information requests, and oversee related follow-up and remediation.
• Review material business and investment matters, escalating significant risks and issues to the Board and senior management.
• Lead and supervise relevant licensed personnel and business teams, with clear allocation of responsibilities and appropriate oversight.
• Coordinate an orderly management handover and review existing business arrangements, portfolios, regulatory matters and outstanding action items.
• Liaise with external legal advisers, auditors, fund administrators, custodians, brokers and other service providers.

About you

• At least 10 years of relevant experience in securities, investment management, fund management or related financial services.
• At least 5 years of experience as an RO or in a comparable senior management role with substantive responsibility for supervising regulated businesses.
• Proven senior management experience within a Hong Kong licensed financial institution, with the ability to exercise independent judgement and oversee day-to-day business activities.
• Experience relevant to fund distribution / securities dealing / investment advisory / discretionary portfolio management / fund management.
• Direct experience handling SFC enquiries, regulatory inspections, licensing matters or remediation projects.
• Strong knowledge of applicable regulatory requirements, corporate governance, risk management and internal controls.
• A degree in Finance, Economics, Accounting, Law or a related discipline, or equivalent relevant professional qualifications and experience. CFA, CPA or similar qualifications would be an advantage.
• High standards of integrity, accountability and professional conduct, with strong leadership and communication skills.
• Good command of written and spoken English and Chinese.
• Ability to work full-time in Hong Kong with appropriate work authorization.

About us

We are a Hong Kong-based financial institution which has obtained SFC Type 1 (only engaging in underwriting, sub-underwriting and placing of securities), Type 4 (advising on securities) and Type 9 (asset management) Licenses. The asset under management mainly comprise of two segments: bond funds and private equity funds, and four key investment directions, namely cross-border merger and acquisition, fixed income investment, private equity investment, listed securities research and investment.