SFC Compliance Officer (Type 4 & 9) — RO Leader

iPlatform HR Service Limited; Hong Kong Island; Vor Ort; HKD 700.000 - 1.000.000; Vollzeit

Zusammenfassung

iPlatform HR Service Limited seeks a Responsible Officer (Type 4 and 9) in Hong Kong to oversee compliance for asset management activities. The role requires RO eligibility, leadership, and strong regulatory knowledge.

The candidate should have at least 5 years in financial services, experience with SFC guidelines, and fluency in English with Cantonese or Mandarin. This full-time role involves direct interaction with the SFC and internal teams.

Qualifikationen

• Must hold SFC Type 4 and Type 9 licenses with RO eligibility.
• Minimum 5 years in financial services with SFC regulation knowledge.
• Strong leadership and communication skills across all levels.
• Detail-oriented, analytical, proactive problem-solver.

Aufgaben

• Provide guidance on development, implementation, and monitoring of compliance policies.
• Monitor trading activities and perform compliance reviews and risk assessments.
• Serve as primary contact with the SFC for filings and communications.
• Stay updated on regulatory developments and advise on related matters.

Kenntnisse

SFC Type 4 license

SFC Type 9 license

Leadership

Communication

Ausbildung

Bachelor's degree in Finance/Law/Business

Jobbeschreibung

iPlatform HR Service Limited seeks a Responsible Officer (Type 4 and 9) in Hong Kong to oversee compliance for asset management activities. The role requires RO eligibility, leadership, and strong regulatory knowledge.

The candidate should have at least 5 years in financial services, experience with SFC guidelines, and fluency in English with Cantonese or Mandarin. This full-time role involves direct interaction with the SFC and internal teams.