Responsible Officer Type 4 & 9

Job level Senior
Work exp 6 Years To 15 Years or above
Education Bachelor Degree
Hong Kong Island
Employment type Full Time
Industry Financial Services
Job function Banking / Finance > Asset Management
Banking / Finance > Fund Management / Hedge Fund
Banking / Finance > Private Equity / Venture Capital
Published On 11/07/2018

Our client is a Hong Kong boutique securities firm, they are looking for a replacement candidate for the following requirements:

Job Description:

  • Act as a Responsible Officer to supervise and manage SFC regulated activities
  • Monitor daily business operations and ensure full regulatory compliance
  • Liaise with SFC and other regulators regarding investment products and licensing matters
  • Oversee and manage daily Type 1, 4, 9 business operations
  • Fund set up, operation and NAV calculation

Work Experience:

  • Degree holder in Finance or Business-related disciplines
  • 8 years asset management experience in fund operation (Preferred candidates with strong back-office work experience)
  • Registered with SFC RO1, RO4 and RO9 (Type 9 is a MUST)
  • Good command of written and oral English and Chinese including Putonghua