Responsible Officer Type 1&4(Part time) Responsible Officer Type 1&4(Part time) …

Lake Street Executive Search
in Hong Kong
Permanent, Part time
Last application, 22 Oct 21
Competitive
Lake Street Executive Search
in Hong Kong
Permanent, Part time
Last application, 22 Oct 21
Competitive
Posted by:
Michelle Li • Recruiter
Posted by:
Michelle Li
Recruiter
Our client is a leading Chinese securities firm, and they are looking for a part-time RO Type 1&4, better to also have Type 9 to join their firm.

Responsibilities:

  • Act as Responsible Officer to supervise SFC Type 1,4,9 regulated activities & daily securities operations;
  • Responsible for the overall business operations and compliance
  • Responsible for the company's risk control and supervise team members

Requirements:

  • Degree or above in Business related disciplines;
  • SFC registered RO/Qualified Representative for license 1,4,9;
  • Experienced in compliance, operations and risk control
  • Mandarin and English is a must
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