Job ref no.: CT3124176-01#0402

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

CompliancePlus Consulting Limited

  • 5-day week
  • 13-month pay
  • Dental plan
  • Discretionary bonus
  • Medical plan

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 to learn more about us.

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

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 by clicking Apply Now.
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More job information
Job ref no. CT3124176-01#0402
Job Function
  • Central
Employment Term
  • Permanent
  • 3 years - 8 years
Career Level
  • Entry level
  • Degree