Responsible Officer

2 weeks ago


Hong Kong, Hong Kong SAR China Glory Consulting Full time

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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