RO25052201 - Responsible Officer

职位描述
Key Responsibilities

Act as the Responsible Officer for the firm’s Type 1, Type 4 and Type 9 regulated activities, with management responsibilities and duties to supervise SFC regulated activities.

Manage daily operations to ensure full regulatory compliance with the Securities and Futures Ordinance and SFC Codes and Guidelines.

Formulate, review and update the operations manual to ensure full compliance.

Responsible for the management and on-going establishment of External Asset Management business.

Responsible for daily activities of the existing Fund operations and new project specific vehicle establishment.

Assist in formulating investment strategy and oversee asset investment or transaction of the Company and clients.

Liaise with various service providers and other stakeholders.

Collaboration with the firm’s senior management to identify and capitalize on new business opportunities.

Handle any ad-hoc duties as required.

Requirements

· Bachelor’s degree or above in Finance, Economics, or other business-related disciplines.

· Current holder of SFC Responsible Officer license for Type 1, Type 4 and Type 9 regulated activities preferred. However, current Representatives will also be considered if they have the below mentioned experiences.

· Relevant experience in securities dealing, advisory and asset management, in particular private fund distribution process and External Asset Management business management.

· Experience in building External Asset Management business, onboarding, and collaborating with various private banks and brokerage firms, coordinating with internal Relationship Managers, assisting in client onboarding with private banks and licensed firm.

· Self-motivated, detail-oriented and capable of working independently in a fast-paced environment.

· Proficiency in both written and spoken English and Chinese.