A newly set up fund house is seeking for talents to join their company.
- Report to a Senior RO
- Act as licensed Responsible Officer with responsibilities and duties to supervise the regulated activities of a licensed corporation;
- Assist in supervising daily operations & SFC regulated activities in compliance with HKSFC regulations;
- Assist in formulating the business process, operations and internal controls of the licensed corporation
- Participate in ad-hoc projects and duties as assigned
- Current SFC licensed Responsible Officers in Type 4 and 9.
- Sound knowledge of SFO regulations and guidelines of relevant regulatory authorities
- and strong compliance sense.
- Understanding about middle and back office operations, risk controls and investment process of asset management firms.
- Understanding daily operations & SFC regulated activities in compliance with HKSFC
- Understanding procedures of account opening and customer services to comply with relevant regulations and laws
For interested parties, please send your resume in MS word format with current and expected salary and notice period to firstname.lastname@example.org