Act as Responsible Officer for SFC Type 1 and 4 regulated activities, overseeing dealing, risk management, credit control, execution, and customer service. Also formulates internal controls and policies, and supports management on business expansion. Requires a degree and current Type 1 RO license with at least 3 years of RO experience.
Core skills
SFC Type 1 regulated activitiesSFC Type 4 regulated activitiesSecurities and Futures Ordinance (SFO)risk managementcomplianceinternal control
Similar roles
More live opportunities matched by discipline and skills.