SFC Type 10 Responsible Officers (RO)

Future Well License Compliance Limited; Hong Kong Island; On-site; HKD 72,000 - 88,000; Full time

Job summary

Future Well License Compliance Limited is seeking a Responsible Officer (RO) for SFC Type 10 activities, with at least five years in asset management related to credit rating services. The role entails leading regulatory oversight, supervising activities, and ensuring rigorous compliance across daily operations.

The candidate should hold or be eligible for an unconditional SFC Type 10 RO license, with strong English, Cantonese and Mandarin skills, and proven leadership capabilities to manage

Qualifications

• Minimum 5 years of solid experience in asset management related to credit rating services.
• Current holder of SFC unconditional Responsible Officer license for Type 10 activities preferred.
• Sound knowledge of SFO, regulations and guidelines of relevant authorities.
• Experience in middle and back office operations, risk controls, and investment process of fund management companies.
• Strong analytical, leadership, presentation and interpersonal skills.
• Fluent in English, Cantonese and Mandarin.

Responsibilities

• Assist with SFC Type 10 RO application and setup of processes, operations and infrastructure of the firm.
• Act as Responsible Officer with management responsibilities to supervise SFC regulated activities.
• Manage daily operations to ensure full regulatory compliance.
• Comply with all applicable laws, rules and regulations and standard of good market practices.

Skills

English

Cantonese

Mandarin

Leadership

Regulatory knowledge

Job description

RO ofSFC Type 10Responsible Officers (RO)

1.1 Job Highlights

Current holders of unconditional RO preferred

Current Rep with enough experience considered

Min 5years industry experience

Full time: HKD 80000+/month, depending on experience and ability

1.3 Job Description

Key Responsibilities:

• Assistin SFC license(Type 10 RA)application in preparing and setting up process, operations and infrastructure of the firm
• Actas Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm
• Manage daily operations to ensure full regulatory compliance
• Comply with all applicable laws, rules and regulations and standard of good market practices

Requirements:

• Minimum 5 yearsofsolid experience inasset management relating to credit rating service business.
• Current holder of SFC unconditional Responsible Officer license forType10 regulated activitiespreferred. However, current Type10 Representatives will also be considered if they have the above-mentioned experiences.
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
• Solid understanding about middle and back office operations, risk controls and investment process of fund management companies
• Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
• Good command of written & spoken English, Cantonese and Chinese Mandarin
• Familiar with bonds business is a big advance.