About the role
FinEx AI summary
Seeking a Responsible Officer for SFC Type 1/4 regulated activities, covering dealing, risk, credit control, execution, customer service, and internal controls. Supports business expansion. Requires current Type 1 RO status, 3+ years RO experience, SFO/regulatory knowledge, placing experience, and English, Chinese and Mandarin.
Core skills
SFC Type 1 and Type 4 regulated activitiesResponsible Officer licensingSecurities and Futures Ordinance knowledgeRegulatory complianceInternal control and policy formulationRisk management and credit control