SFC Type 1/4/9 Responsible Officer

Responsibilities

• Serve as the firm's SFC Type 1, 4 and 9 Responsible Officer (RO), overseeing and ensuring full compliance of the company's asset management operations.
• Manage day-to-day operations to ensure all corporate activities fully comply with the Securities and Futures Ordinance (SFO) and the codes and guidelines issued by the Securities and Futures Commission (SFC) of Hong Kong.
• Develop, review and update operational manuals to maintain full regulatory compliance.
• Formulate investment strategies and supervise investment and trading activities for the firm and its clients.
• Lead the delivery of a full spectrum of asset management services, including equity investment, fixed income investment, private funds and cross-border investments; take charge of product structuring and drive project implementation.
• Lead the team to retain and expand client relationships, including building in-depth collaboration with banking branches and developing external channels such as fund houses, third-party wealth management firms, and asset management companies.

Requirements

• Bachelor’s degree or above in Finance, Economics, Law, Accounting or other related disciplines; possession of professional qualifications including CFA / CPA / FRM is preferred.
• Hold SFC Responsible Officer status for Type 1, Type 4 and Type 9 licences, with over 8 years of working experience in asset management, including a minimum of 3 years of team management experience.
• Well-versed in various asset management products (in particular private funds, bank wealth management products, cross-border investment products, etc.), with strong logical analysis and written communication skills.
• Demonstrate strong awareness of risk and compliance, as well as solid leadership, decision-making, client & market business development, communication, and coordination capabilities.