Responsible Officer, RO Type 9

Job Responsibilities:

• Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the company.
• Assist in SFC license application and setting up of infrastructure of AM business
• Formulate, review and update the operation procedures to ensure full compliance. 
• Participate in product development, client servicing and marketing activities.
• Assist in private fund projects and discretionary accounts management, liaising with service providers and other stakeholders. 

Job Requirements:

• Degree Holder in Finance or Business related disciplines.
• Minimum 3 years of solid experience in asset management relating to portfolio management and fund operation and product development.
• Current holder of SFC unconditional or conditional RO license for Type 4 and Type 9 regulated activities.
• Sound knowledge of SFO regulations and guidelines of relevant regulatory authorities and strong compliance sense. 
• Solid understanding about middle and back office operations, risk controls and investment process of asset management firms.
• Proficiency in written and spoken English and Chinese (including Mandarin)