Job Responsibilities:
- Act as the responsible officer for SFC-regulated activities of Type 1, 4, and 9;
- Supervise, manage and ensure compliance with all applicable laws, regulations and rules, including SFC's codes of conduct and guidelines;
- Provide guidance and leadership in formulating, implementing and monitoring effective compliance policies and procedures;
- Supervise trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks;
- Serve as the main contact person with the Securities and Futures Commission, handling all regulatory matters, reports and communications;
- Keep abreast of regulatory developments and provide advice to the company on compliance matters;
- Participate in the development of new products and business plans to ensure they meet all regulatory requirements;
- Provide training and support to employees on compliance-related issues.
Job Requirements:
- Possess the licenses required for conducting business in Hong Kong (with practical RO experience as a licensed responsible officer);
- Have more than 3 years of experience as a licensed responsible officer for Type 1/4/9 licenses in Hong Kong financial institutions, as well as practical business management experience;
- Hold a Hong Kong identity card / work visa;
- Understand the business logic of overseas urban investment bonds, and those with relevant resources are preferred.
岗位职责 ：
- 担任SFC 对1 类、4 类、9 类监管活动的负责人；
- 监督、管理和确保遵守所有适用的法律、法规和法规，包括SFC的行为准则和准则；
- 就制定、实施和监督有效的合规政策和程序提供指导和领导；
- 监督交易活动，并定期进行合规审查和风险评估，以识别和减轻潜在的风险；
- 作为与证监会的主要联系人，处理所有监管内容、报告和沟通；
- 及时了解监管方面的发展，并就合规事宜向公司提供建议；
- 参与新产品和业务计划的开发，以确保它们满足所有的监管要求；
- 就合规相关问题向员工提供培训和支持。
任职要求：
- 具香港当地业务执行需具备的执照（RO 持牌负责人的经验资格实质RO 经验）；
- 具香港金融机构1 号/ 4 号/ 9 号牌持牌负责人3 年以上经验以及实质业务管理经验；
- 具有香港居住证/ 工作签；
- 了解境外城投债业务逻辑，有相关资源者优先。
举报职位
