Job title: SFC Responsible Officer (RO Type 9)
Job type: Permanent
Emp type: Full-time
Location: Hong Kong
Job published: 11 May 2020
Job ID: 32355

Job Description

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.


Job Responsibilities:


  • 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


Job Requirements:


  • 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