Job ref no.: CT3117036-01#6696

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

CompliancePlus Consulting Limited

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

 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 by clicking Apply Now

All information will be kept strictly confidential 

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3117036-01#6696
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Permanent
  • Part-time
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Senior management level
Education
  • F.5- F.7 or DSE
  • Diploma or equivalent
  • Degree