Responsible Officer (SFC Type 6)

  • Competitive Pay
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Mario Recruitment Limited
  • 17 Jul 18 2018-07-17

Our client is a Private Equity firm with investments across Global and Asia with diversified investment in different sectors. They are now looking for a fit and proper Responsible Officer who is eligible to supervise Type 6 regulated activities.

Job Responsibilities:

  • Act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities;
  • Originate new deals and to support existing deals; to advise/evaluate complex deals and asset structures
  • Provide advice and support to top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as due diligence execution;
  • Formulate, review and update the operational procedures to ensure full regulatory compliance
  • Establish proper documentation of all regulated activities;
  • Assist in handling compliance cases and complaints;
  • Assist in communicating with regulatory bodies;

Job Requirements:

  • With 5+ years of solid experience in brokerage and investment banks or in buy-side asset managers in capacity of supervising regulated activities
  • You need to be analytical and demonstrate strong financial modelling and Excel skills
  • Possess sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines (including The Codes on Takeovers and Mergers and Share Buy-backs), regulations and guidelines of relevant regulatory authorities and risk management controls
  • Current holder of SFC Responsible Office license for Type 6 RA preferred
  • Prior regulatory relationship management experience is preferred
  • Strong leadership, analytical, communication and presentation skills
  • A holder of bachelor degree or above
  • A native or business professional level speaker of Cantonese, Mandarin or English