CompliancePlus is an independent consulting firm focused on providing a complete range of proven and reliable compliance solutions to licensed firms, fund management companies and hedge fund managers in Asia. We were awarded "The Best Compliance Services Provider in 2013" by AsianInvestor. Our dedicated...
CompliancePlus is an independent consulting firm focused on providing a complete range of proven and reliable compliance solutions to licensed firms, fund management companies and hedge fund managers in Asia. We were awarded "The Best Compliance Services Provider in 2013" by AsianInvestor. Our dedicated team of compliance officers has years of professional experience equipped with in-depth knowledge of both functional and compliance experience in managing and minimizing regulatory, operational and reputational risks. As an award-winning industry leader providing compliance solutions and insights to financial institutions and hedge fund managers in Asia, CompliancePlus brings the most comprehensive and value-added compliance services to our clients, enhancing their competitiveness in the finance industry. Please visit our website http://www.complianceplus.hk to learn more about us. 

SFC Type (1/ 2/ 4/ 6/ 9) Responsible Officers (RO)

Job level Senior
Education Bachelor Degree
Location
Within Hong Kong
Employment type Full Time
Benefits Dental plan, 13-month pay, 5-day week, Medical plan, Performance bonus
Industry Financial Services / Investment / Securities
Job function Banking / Finance > Investment & Securities
Banking / Finance > Corporate Finance
Banking / Finance > Fund Management / Hedge Fund
Published On 16/04/2019

Key Responsibilities:

  • Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm
  • Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm
  • Manage daily operations to ensure full regulatory compliance
  • Comply with all applicable laws, rules and regulations and standard of good market practices

Requirements:

  • Minimum 3 years of solid experience in asset management relating to portfolio management and fund management in any one of the areas: research, proprietary trading (with discretion), private equity, special situations and dealing with alternative investments.
  • Current holder of SFC unconditional Responsible Officer license for Type 1, Type 2, Type 4, Type 6 or Type 9 regulated activities preferred. However, current Type 1, Type 2, Type 4, Type 6 or Type 9 Representatives will also be considered if they have the abovementioned experiences.
  • Retail (public) fund experience a big plus
  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
  • Solid understanding about middle and back office operations, risk controls and investment process of fund management companies
  • Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
  • Good command of written & spoken English and Chinese (including Mandarin)

Interest parties please send your full resume with expected salary and availability date

 

All information will be kept strictly confidential