Senior Vice President-Type 1 RO

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

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.

Skills

SFC Type 1 RO

Regulatory compliance

English + Cantonese/Mandarin

Education

Finance / Law / Business

Job description

Responsibilities

• Act as a experienced Responsible Officer with the SFC for Type 1 activity (license representative for Type 4 and Type 9 regulated activities will be an asset.)
• Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and guidelines.
• Provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures.
• Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks.
• Manage daily operations to ensure full regulatory compliance
• Serve as the primary contact with the SFC and handle all regulatory filings, reporting, and communications.
• Keep abreast of regulatory developments and advise the company on compliance matters.
• Participate in the development of new products and business initiatives to ensure they meet all regulatory requirements.

Requirements

• Current and minimum of 5 years of experience in SFC Type 1 RO capacity (experience in license rep for type 4 and 9 status or eligibility would be an asset)
• At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.
• Solid experience in dealing with SFC on-site inspection
• Sound knowledge in FRR
• A degree in Finance, Law, Business Administration, or other related fields.
• Fluency in English and Cantonese or Mandarin is essential.
• Immediate availability is preferred

Company Overview

Donghai International Financial Holdings Company Limited （ Donghai International ), a state-owned financial enterprise which is 100% owned by Donghai Securities, is approved by China Securities Regulatory Commission in August 2015. Donghai International has been licensed by the Securities & Futures Commission of Hong Kong for regulated activities such as Type 1 - Dealing in Securities, Type 4 - Advising on Securities and Type 9 - Asset Management activities.