RO/Qualified for license 1, 4, & 9 Handle SFC enquiries & licensing matters Well versed with regulatory requirements
Responsibilities:Act as a Responsible Officer with management responsibilities and duties to supervise SFC Type 9 regulated activities Responsible for the monitoring of the daily business operations to ensure full regulatory compliance Lead and participate in the set-up, launch and ongoing operation of investment funds, including coordinating with fund administrators, custodians, legal advisers, auditors and other service providers Assist in formulating investment and fund strategies and oversee fund investments and transactions of the Company or clients Oversee the compliance functions of the Company and take necessary actions to ensure all business activities comply with SFC rules and Company guidelines Implement business development and marketing plans Assist in ad hoc assignments as required
Requirements:Degree holder or above in Finance, Banking, or related disciplines Minimum of 5 years’ management experience in SFC-licensed firms, with solid knowledge of operations, compliance, and risk management Proven hands-on experience in setting up, launching and operating investment funds is essential Experience in handling the end-to-end fund establishment process and liaising with fund administrators, custodians, legal advisers, auditors and other professional parties is highly preferred Qualified for an SFC Responsible Officer licence for Type 9 regulated activity;
eligibility for or existing approval in Types 1 and 4 would be an advantage Sound knowledge of the SFO, the SFC Code of Conduct, applicable regulations and guidelines issued by relevant regulatory authorities, and risk management controls Good command of both written and spoken English and Chinese;
fluency in Mandarin would be an advantage Independent, self-motivated, well-organized and detail-oriented, with the ability to work under tight deadlines and a strong sense of responsibility Remuneration and benefits: 5-days work Continuous training and development opportunities Competitive package Group medical and annual leave Interested parties please send a full resume indicating with your present, expected salary package and earliest date available by clicking