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Inhouse- Responsible Officer (Type 1 and 4)

Ref: JN -122017-52530
Asia, Hong Kong
Compliance, Compliance Professional
18th January 2018
Job Type

Inhouse- Responsible Officer (Type 1 and 4)

The Company

Our client is one of the leading global asset managers who is in an exciting phase of development and expansion. They are currently looking for a Responsible Officer (Type 1 and 4) for their team based in Hong Kong.

Responsibilities include:

  • Act as Hong Kong resident Responsible Officer for SFC regulated activities Types I and 4.
  • Ensure compliance with all applicable laws, rules and regulations as well as internal policies and protocols.
  • Produce informative and timely oversight reporting for business and compliance management.
  • Ensure effective identification, measurement, control, management, escalation and supervision of the activities in Hong Kong.

Key Requirements include:

  • Relevant experience in Type 1 and 4 regulated activities in Hong Kong and being able to qualify as a Responsible Officer for Types 1 and 4.
  • Preferably having prior experience as a Responsible Officer for Types 1 and 4.
  • Good knowledge, understanding and experience in the Hong Kong regulatory and compliance environment.
  • An analytical and independent mind-set.
  • Good educational qualifications.
  • Prior real estate, infrastructure or general fund management experience preferred.

This company is well-recognized for the work they do and the employees are rewarded for their performances. The role will be perfect for a candidate looking to step up into a global reputable organization.

License No: 12C6031 / EA Reg. ID R1325169

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