My client is a newly established Asset Management firm based in Hong Kong looking for a Responsible Officer Type 9 (Sole) to join their team for their wealth management business with fintech background.
- To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities; to supervise trading team and liaising with operations and settlement teams;
- Involve in daily business operations OR Sales & Marketing strategies for business expansion
- To provide discretionary fund management
- Deal with SFC regarding MIC responsibilities
- With 6+ years of solid experience in buy-side or sell-side or licensed corporations with supervising experience in Asset Management firms
- Relevant exposure in Discretionary Fund Management with financial market knowledge in Hong Kong, China, Asia and US
- Experience in Sales & Marketing or Operations in Fund Management is highly preferred
- Possess sound knowledge of SFO, SFC codes & guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls.
- Current holder of SFC Responsible Officer license in Type 9 (Sole)
- A native or business professional level speaker of Cantonese, Mandarin or English
- Independent, strong business acumen and look for long-term career development