Responsible Officer (RA149)

Internal Reference: R068-250318-001

Recruiting Entity: RA149 Licensed Corporation

Recruiting Position: Responsible Officer (RA149)

Level: Senior Level

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I. Company Background:

Our client is a newly established securities and asset management company specializing in the management of bonds, stocks, and funds management.

Currently, the Company is applying for Type 149 regulated activities from the SFC by ComplianceOne Consulting Limited.

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II. Job Opportunity:

Candidates who wish to apply must possess experience in (1) RO149 qualification (unconditional); (2) experience in Fund Management and (3) good knowledge of operations and compliance aspect of a licensed corporation.

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III. Key Responsibilities:

1. Supervise Type 149 regulated activities and ensure the business operation in compliance with all relevant regulatory requirements and internal policies;
2. Assist on managing the Fund Management of the Company;
3. Good knowledge on Stocks (Electronic Trading);
4. Basic knowledge on Bonds;
5. Provide advice and support to senior management on business activities and applicable laws;
6. Liaise with SFC if needed;
7. Handle any other ad-hoc duties as required.

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IV. Requirements:

• Holder of unconditional SFC Type 149 responsible officer qualifications;
• Minimum 5-year solid experience in the industry;
• Good knowledge in operations;
• Degree in Finance, Economics, Business or other related disciplines are preferred;
• Sound understanding of SFO, regulations and guidelines of relevant regulatory authorities;
• Capable and confident on communication with the SFC;
• Good communication skill in Mandarin;

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V. Remuneration Package:

• Permanent role with initial 12-month fixed term;
• Attractive package based on experiences and qualifications;
• Discretionary bonus based on business performance;
• 5 days a week, with annual leave;

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VI. How to Apply:

Please send your latest CV with (1) Expected Salary; and (2) Availability to [via CTgoodjobs Apply Now], please quote the reference: R068-250318-001

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Thank you!

Tiffany Chan

Recruitment Officer

ComplianceOne Consulting Limited

www.ComplianceOne.HK

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