Responsible Officer
2 weeks ago
Responsibilities:
- Act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities in Type 9 business in particular.
- Responsible for strategies development, supervisory and implement the operations in asset management and funds.
- Ensure compliance with relevant codes, laws and regulations and involve in business development activities.
- Cooperate with legal advisors to design fund structure, draft fund offering documents, and register funds and record products with regulatory agencies.
- Formulate, review and update the operational policies and procedures to ensure full regulatory compliance.
- Ensure the operations of internal control procedures to comply with the regulatory requirements.
- Work closely with the internal top management group.
- Review and resolve performance metrics such as revenue information discrepancies.
- Responsible in investment decisions making and portfolio management.
- Perform other ad-hoc projects and assignments as required.
Requirements:
- Degree or above in Finance, Accountancy, Business Administration, Law or related discipline.
- Qualified Licensed Holder of SFC Type 9(unconditional),with minimum 3 years of managerial experiences in the past five years.
- Candidates who are accredited by the SFC as a Responsible Officer in Type 9 but do not have any experience in holding client asset are also welcome to apply.
- Solid knowledge in financial products, asset management, funds or capital investment products.
- Strong analytical and good interpersonal and presentation skills, highly-motivated and able to work independently.
- Well understanding of SFC regulatory regime, portfolio construction and performance measurement.
- Solid understanding about middle and back office operations, risk controls and investment process of asset management companies.
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