Our client is a fast growth leading digital asset management firm in Asia. To cop with their expansion plan this year, they are currently looking for a Head of Client Services (RO) to join their HK office.
- Act as a Responsible Officer (RO) to supervise SFC Type 1 & 4 & 9 regulated activities, and ensure all regulatory & reporting requirements are fulfilled with local regulatory bodies;
- Lead a small team of client services professionals and building industry leading processes and internal controls;
- Work closely with product team and sales team including new clients (institutional investors and HNWI) and fund onboarding, investor reporting and client / fund related regulatory reporting (including FATCA and CRS reporting);
- Work closely with the COO & Chief Compliance Officer to build up internal standards and create operational processes and policies around investor onboarding, professional investor assessment, KYC procedures, etc.
- Attending to investor operational due diligence requests, including maintaining firm and product presentations, DDQs, brochures, etc.
- Drive fund and product corporate actions, including PPM updates, investor notices, etc.
- Interfacing with manager and fund service providers, including the administrator, custodian, transfer agent, etc.
- Degree holder in Business, Legal, Finance or related major with minimum 5 years’ of relevant working experience of client servicing experience, with at least 2 years’ gained in a managerial buy-side role;
- Sound knowledge of local regulations and guidelines of relevant regulatory authorities and risk management control;
- SFC Responsible Officer registration is required;
- Strong passion in blockchain or crypto is definitely an advantage;
- A good team player, self-motivated, strong sense of ethics, responsibility and discipline with good interpersonal skills;
- Good command of written and spoken English, Mandarin and Cantonese.