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Job

Responsible Officer - Type 3 RO/License Holder - Global FinTech Firm

  • Location

    Hong Kong City

  • Sector:

    Audit & Finance

  • Job type:

    Permanent

  • Salary:

    Competitive

  • Contact:

    Joyce Wang

  • Contact email:

    j.wang@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    5 months ago

  • Expiry date:

    2019-04-01

Our client is a global e-commerce and banking facilitator which provides innovative cross-border payment and trading solutions to Fortune 500 e-com firms, on the one hand, and bank accounts in a prompt, cost-effective and strictly compliant way across UK, US, and APAC areas.

 

Major Responsibilities:

  • Provide oversight of SFC regulated activities in Type 3 business 
  • Provide advice to senior management regarding regulatory changes, strategic planning
  • Monitor and improve risk and control policies and procedures and daily operational efficiency and ensure regulatory compliance
  • Maintain and develop new discretionary management accounts
  • Establish proper documentation of all regulated activities
  • Liase with regulatory bodies and act as the escalation point for compliance cases and complaints

 

Ideal Qualifications:

  • Bachelor degree or above in Business, Finance or related discipline
  • Type 3 RO license holder
  • 5+ years of experience in ETrading Platform, with strong relationship management experience
  • Strong knowledge of SFO, SFC codes & guidelines, regulations, and risk management controls
  • Solid communication, good negotiating and interpersonal skills
  • Ability to work independently under tight timeline
  • Strong people manager, able to lead teams and develop others
  • Excellent verbal and written communication skills

 

Interested applicants can send an updated CV directly to j.wang@hamlynwilliams.com.

(For experienced ROs, competitive incentive plan for business development will also be considered under mutual agreement).