SFC Type (1, 2, 4, 6, 7, 9, 10) Responsible Officers (RO)

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 5 years of solid experience in SFC licensed firms relating to any one of the areas: portfolio management, dealing, research, proprietary trading, discretionary account management, private equity, special situations, corporate finance, ATS, and credit rating.
• Current holder of SFC Responsible Officer license for Type 1/ 2/ 4/ 6 /7 / 9/ 10 regulated activities preferred. However, current Representatives will also be considered if they have the abovementioned experiences.
• 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 a plus
• 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