Responsible Officers - Type 1 and Type 4

  • Negotiable
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Geer Consultants Limited
  • 15 May 18 2018-05-15

Our client, a rapidly expanding financial institution licensed under the SFO to conduct Type 1 and Type 4 regulated services, is seeking high-caliber candidates to become one of the key members of the team.

Responsibilities:

  • Act as Responsible Officer to supervise SFC Type 1 and 4 regulated activities
  • Formulate, review and update the operational procedures to ensure full regulatory compliance
  • Advising and implementing on Securities including provide investment advice to clients relating to the sale/purchase of securities
  • Liaise with other professional parties and communicate with relevant authorities, such as SFC and Hong Kong Stock Exchange
  • Support senior management and assist in various business development exercise

Qualifications:

  • Current holder of SFC Responsible Officer licence (Type 1 and Type 4) 
  • 3+ years’ experience in securities firm
  • Candidates who is not a current Responsible Officer but whose experience qualifies as a Responsible Officer may also be considered
  • Sound knowledge of SFO, SFC Code of Conducts and relevant regulatory requirements
  • Proficiency in both written and spoken English and Chinese, fluent in Putonghua
  • Strong analytical skills and good interpersonal and communication skills

Competitive remuneration package and fringe benefits will be offered to successful candidates. Please send your resume with present and expected salary to pinkywong@geerconsulting.com.