Responsible Officer (RA1, 2 & 9) Responsible Officer (RA1, 2 & 9) …

Hong Kong Job Consulting
in Hong Kong
Permanent, Full time
Be the first to apply
70000 up + Bonus
Hong Kong Job Consulting
in Hong Kong
Permanent, Full time
Be the first to apply
70000 up + Bonus
Posted by:
KK Wong • Recruiter
Posted by:
KK Wong
Recruiter
A full Licensed Corporation is looking for Responsible Officer to oversee various Regulated Activities 1, 2 & 9.

Responsibilities

  • Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm, such as SFC Type 1, 2 & 9 regulated activities
  • Oversee the compliance functions of the Company and take necessary actions to ensure all business activities comply with SFC rules and company guideline;
  • Serve as an advisor to assist the group’s senior management to develop overall business development strategies;
  • Strengthen relationships with existing clients
  • Lead and participate in sales activities through fund briefings, client seminars and business related events and projects;
  • Prepare sales presentations and keep abreast with new products and features launches;
  • Good knowledge on EAM (External Asset Management) an Advantage

Requirements

  • Bachelor's or above Degree in Business Studies, Finance, Accounting or related disciplines
  • Minimum 10 years of solid experience in dealings of securities and futures and asset management;
  • Current holder of SFC unconditional Responsible Officer license for Types 1, 2 & 9 regulated activities preferred;
  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities(such as SFC and HKEX) and risk management control;
  • Solid understanding about middle and back office operations, risk controls and investment process of fund management companies;
  • Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills;
  • Good command of written & spoken English and Chinese (including Mandarin).

Interested parties please send your resume in word format with current & expected salary and notice period to kk@hkjobc.com.  For details, please feel free to contact KK Wong at 5428 7949.

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