Responsible Officer Type 9, Asset Management

Posted on 2017-12-29
Client Information
Client Name: A Leading Securities Firm
Client Description
Job Overview
Work Location:  Hong Kong
Type: Full-Time
Category: Acounting / Finance
Job Description

Job Responsibilities:

  • Act as Responsible Officer with management responsibilities and duties to supervise SFC Type 4 & Type 9 regulated activities of the Company.

  • Responsible for asset management, fund set-up, fund investment, etc.

  • Overall supervision of fund operation to ensure the compliance with the Companypolicies, statutory rules and regulations.

  • Participate in marketing, client servicing activities and products development

  • Coordinate effectively with various teams and business partners to effectively mobilize resources and implement business/investment decisions for ultimate goals.

  • Help establish and strengthen internal operation flows to improve work efficiency



Job Requirements:

  • Degree holder in Finance or related disciplines.

  • At least 5 years’ solid experience in asset management relating to portfolio management and fund operation management.

  • Current holder of SFC unconditional Responsible Officer 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 fund management companies.

  • Good ethic and strong in handling compliance matters for asset management or fund house

  • Team player, cheerful personality to get along; has a strong sense of responsibility, honesty and trustworthiness, has an excellent work ethic and integrity.

  • Proficiency in written and spoken English and Chinese (include  Mandarin)