Your new company A Leading Hong Kong Securities Firm is expanding with new business in the Region. With a forward-thinking vision, your new company is hiring a Responsible Officer to join the company and lead the back-to-middle office operations of the SFC Licensed Firm. Offering broad exposure and a stable working environment, they welcome interested candidates to apply.
Your new role - Ensure full compliance with SFC regulations and guidelines across all licensed activities
- Oversee the back and middle office teams including trade settlement, clearing, and reconciliation processes
- Maintain up-to-date knowledge of regulatory changes and implement necessary adjustments
- Establish and enforce internal control policies and procedures
- Monitor and manage operational, financial, and compliance risks
- Ensure accuracy and timeliness of transaction processing and reporting
- Ensure proper documentation and disclosure of investment advice
- Support onboarding and training of staff involved in regulated activities
- Act as liaison with the SFC and other regulatory bodies
What you'll need to succeed - Bachelors degree with 6+ years of relevant experience in SFC licensed firms leading business operations
- Experience as RO for SFC Type 1, 2, 4, or 9
- Able to lead a small team with a positive attitude
- Strong communication skills in Chinese
- Attention to detail
What you'll get in return - A stable and work-life balanced environment with a friendly team and supportive management
- Career development opportunities with a growing and thriving SFC Licensed Corp.
What you need to do now If you are interested in this position or other positions in the Financial Services industry, please send your Resume to
Florence.Fong@hays.com.hk