RO 1,4,9 (Chinese Asset management)

Responsible Officer (RO) - Regulatory andpliance (Type 1, 4, 9)

Responsible Officer (RO) - Regulatory andpliance (Type 1, 4, 9)

Your newpany

Leading securities firm in China, providing a wide range of financial services including securities trading, asset management, and investment advisory. We aremitted to maintaining the highest standards of regulatorypliance and corporateernance.

Your new role

• Act as a Responsible Officer with overall responsibility for ensuringpliance with SFC regulations for Type 1, 4, and 9 activities.
• Develop, implement, and maintainpliance policies and procedures to ensure adherence to regulatory requirements and internal standards.
• Conduct regularpliance risk assessments and develop mitigation strategies.
• Overseepliance monitoring and testing programs for securities trading, investment advisory, and asset management activities.
• Liaise with the SFC and other regulatory bodies onpliance matters and regulatory enquiries.
• Provides expert advice and guidance to senior management and business units onpliance issues.
• Manage regulatory examinations and audits, and ensure timely and accurate reporting to regulatory authorities.
• Develop and deliverpliance training programs to employees at all levels.
• Stay abreast of regulatory developments and industry best practices, and proactively updatepliance programs as needed.
• Foster a culture ofpliance and ethical behaviour within the organisation.

What you'll need to succeed

Job ID 1278339