Responsible Officer (RA49)

Responsible Officer (RA49)

Internal Reference: R076-250729-004

Recruiting Entity: RA49 Licensed Corporation

Recruiting Position: Responsible Officer (RA49)

Level: Senior Level

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I. Company Background:

Our client is an SFC-licensed corporation for Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities. It will leverage its existing and prospective client relationships to drive these new ventures.

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II. Job Opportunity:

Candidates who wish to apply must possess experience in (1) RO49 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:

• Ensure business operations comply with all relevant regulatory requirements and internal policies upon grant of licenses;

• Supervise daily operations and enforce internal controls;

• Assist in managing discretionary accounts and the OFC (Open-ended Fund Company), if required;

• publishing research reports and providing securities advisory services;

• Submit SFC filings and manage regulatory inspections;

• Advise and support senior management on business activities and applicable laws;

• Handle any other ad-hoc duties as required.

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IV. Requirements:

• Holder of unconditional SFC Type 4 and 9 responsible officer qualifications;

• Minimum 5-year solid experience in the industry;

• Good knowledge in operations and understanding of fund administration;

• 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 in communication with the SFC and other regulators;

• Experience in virtual asset (crypto/digital asset) management is preferred;

• Experience handling major risk control and compliance incidents is an advantage;

• Experience forming and leading risk/compliance teams is an advantage;

• Experience with BVI and Cayman Islands regulatory compliance is an advantage;

• Good communication and interpersonal skills;

• 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 [email protected], please quote the reference: R076-250729-004

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Thank you!

Tiffany Chan

Recruitment Officer

ComplianceOne Consulting Limited

www.ComplianceOne.HK