Responsible Officers (SFC RO Type 1 & 4 and/or 9)

Our client is an investment and finance company in Hong Kong now looking for high-caliber candidates to take up the following challenging roles.

Responsibilities:

  • Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm
  • Oversee the development and investment management of the funds
  • Monitor the daily operations in dealing activities, the account opening process, account maintenance and customer services
  • Ensure the operations in compliance with Company policies and SFC requirement

 

Requirements:

  • University Degree in Finance, Economics or business related discipline
  • Minimum 5 years relevant experience in securities and/or asset management
  • Good knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
  • Well versed with operating procedures of securities and asset management
  • Good command of written and spoken English, Cantonese and Mandarin