Responsible Officer (RO) - Regulatory and Compliance (Type 1, 4, 9)
Your new company
Leading securities firm in China, providing a wide range of financial services including securities trading, asset management, and investment advisory. We are committed to maintaining the highest standards of regulatory compliance and corporate governance.
Your new role
- Act as a Responsible Officer with overall responsibility for ensuring compliance with SFC regulations for Type 1, 4, and 9 activities.
- Develop, implement, and maintain compliance policies and procedures to ensure adherence to regulatory requirements and internal standards.
- Conduct regular compliance risk assessments and develop mitigation strategies.
- Oversee compliance monitoring and testing programs for securities trading, investment advisory, and asset management activities.
- Liaise with the SFC and other regulatory bodies on compliance matters and regulatory enquiries.
- Provides expert advice and guidance to senior management and business units on compliance issues.
- Manage regulatory examinations and audits, and ensure timely and accurate reporting to regulatory authorities.
- Develop and deliver compliance training programs to employees at all levels.
- Stay abreast of regulatory developments and industry best practices, and proactively update compliance programs as needed.
- Foster a culture of compliance and ethical behaviour within the organisation.
What you'll need to succeed
- Bachelor's degree in Finance, Law, Business Administration, or a related field. Advanced degree (e.g., JD, MBA) preferred.
- Minimum of 8 years of experience in regulatory compliance within the securities industry, with at least 3 years in a Responsible Officer role.
- Strong knowledge of SFC regulations and industry standards related to securities trading, investment advisory, and asset management.
- Excellent leadership, communication, and interpersonal skills.
- Ability to work effectively with senior management and across different business units.
- Strong analytical and problem-solving skills.
- Fluency in Mandarin and English is required.
- Professional certifications such as CFA, CAMS, or similar are a plus.
What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or share your CV to rowina.lo@hays.com.hk
If this job isn't quite right for you, but you are looking for a new position, please contact us for a confidential discussion on your career.
