Responsible Officer - 1,4,9 Operations

  • Competitive with benefits
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Sensical
  • 10 Apr 18 2018-04-10

You must be, or can qualify to be, licensed as Responsible Officer Type 1, 4 and 9. We are a successful Wealth Management Firm serving intelligent, international clients. We operate as tight teams in London, Singapore and Hong Kong, and you will manage our Hong Kong operations team. This is not a sales position, but strong client servicing skills are important. This is a hands-on position; you will need a can-do attitude.

You will work closely with the Chair of the Board of Directors who directs the Firm’s Investment management and Tax Planning services. You will also liaise with our custodians, and with fund houses.

Excellent written English and good spoken English are essential.

  • Manage daily operations to ensure smooth and compliant delivery of our services.
  • Pull information from our internal systems to provide analysis and management reports.
  • Provide practical advice and timely escalation on compliance/regulatory issues and developments.
  • Formulate new policies and RO149procedures in accordance with changing guidelines and regulatory requirements.
  • Facilitate smooth communication with clients where appropriate.
  • Manage regulatory enquiries, inspections and other communication with regulators.

Essential requirements

To apply for this position you must fulfill the following:

  • Fluency in Excel and highly numerate.
  • Proactive and communicative problem-solver.
  • Attention to detail and strong analytical skills.
  • Good relationship and open dialogue with SFC.
  • Demonstrable relationships with custodians and regulators.