Responsible Officer, SFC Type 1&4

Job Title: Responsible Officer, SFC Type 1&4

Location: Central, Hong Kong

Main responsibilities:

• act as the Responsible Officer and supervise Type 1 and 4 regulated activities of the SFC
• manage overall securities dealing, settlement and operations, including account opening CDD, transactions monitoring, securities settlement and middle office operations
• ensure overall operations are in compliance of internal policies and all applicable laws and regulations
• formulate, update and implement the operations manuals to meet latest compliance requirements
• conduct regular reviews and risk assessments on daily operations and procedures.
• maintain communication with various service providers (such as brokers and trading systems)
• produce managerial report for senior management and head office when required
• Other ad-hoc projects upon request

Requirements：

• Degree holder or above in Business/ Finance / Accounting / Law or any relevant disciplines.
• Eligible to be licensed as unconditional Type 1 and 4 Responsible Officer under the SFC.
• Minimum 6 years of relevant experience in financial institutions with at least 2 years of management experience
• Knowledge in securities settlement, operational procedures, trading systems and related SFC, risk compliance and regulatory requirements is a must.
• Proficient in spoken and written English and Chinese (Cantonese and Mandarin).

Please send an updated resume in English to our Managing Partner at ec(at)Harbridgepartners(dot)com

Interested in this and other roles? Please send an updated resume in English to CV[@]harbridgepartners[dot]com

Or contact +852 2523 9955 – and ask for Terry Au, Edward Chen, Richard Liu, Cora Pang

Harbridge Partners Limited

Employment Agency License: 79129