Hong Kong Job Openings
GBA Capital Management limited
Type 4 & 9 Responsible Officer
FULL TIME
September 2, 2024
We are seeking a qualified and experienced SFC Type 4 and 9 Responsible Officer to oversee our licensing and compliance in relation to asset management and advising on securities. The ideal candidate will ensure that our operations adhere to the regulations set forth by the Securities and Futures Commission (SFC) of Hong Kong.
Key Responsibilities:
- Regulatory Compliance: Ensure that all activities related to Type 4 (Advising on Securities) and Type 9 (Asset Management) are conducted in compliance with SFC regulations.
- Licensing Management: Prepare and submit required documentation for licensing applications and renewals in accordance with SFC requirements.
- Reporting: Prepare regular compliance reports and submit them to senior management and the SFC as required.
- Licenses: Must hold a valid SFC Responsible Officer or Representative license for Type 4 and Type 9.
- Knowledge: Strong understanding of SFC regulations and compliance requirements.
- Very flexible working hours
- Can work from home
- Professional development and training opportunities.
Pay: $20,000.00 - $30,000.00 per month
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