The Role

Contractor, Investment Team, Private Equity

Key Accountabilities

• Serve as an SFC-approved unconditional Responsible Officer (Type 9) of BOCI Prudential Asset Management Limited ("BOCI-Pru"), responsible for overseeing a newly setup venture capital fund (the "Fund") to be managed by BOCI-Pru;
• Supervise the regulatory compliance of the private equity and venture capital investment management activities under BOCI-Pru to ensure compliance with the Securities and Futures Ordinance (SFO) and SFC Code of Conduct;
• Assist in reviewing, enhancing, and operationalizing internal policies, compliance frameworks, and risk management guidelines of the Fund.
• Mentor and oversee designated Licensed Representatives (LRs) or candidate ROs, with the assistance of the in-house compliance and licensing team and external legal counsel;
• Participate in liaison with external legal counsel, in-house compliance team, and the SFC as required during the initial setup period.

Skills & Experience

• Unconditional RO History: Prior approval by the SFC as an unconditional Type 9 RO with clean regulatory track record preferred for rapid onboarding. Clean regulatory record with no prior disciplinary actions, criminal convictions, or insolvency/bankruptcy filings;
• Must satisfy the SFC Guidelines on Competence:
  • Private equity, venture capital and/or related academic and professional qualifications. Minimum 3 years of direct asset management and portfolio management experience within the last 6 years prior to application. With minimum 2 years of proven management or supervisory skill and experience in financial services;
  • Academic Degree: Degree in Accounting, Business Administration, Economics, Finance, Law, or a related discipline;
  • Passed HKSI Licensing Examination Paper 1 (Fundamentals of Securities and Futures Regulation) and Paper 6 (Asset Management);
  • Hong Kong Residency: Must be a Hong Kong permanent resident or hold a valid HK work visa, currently residing in Hong Kong.
• Candidates with working experience in Hong Kong or overseas is considered as an advantage.

Other Information

• Please apply in strict confidence with full resume, academic record, current and expected salaries;
• The personal data provided will be used for consideration of recruitment only. All personal data of unsuccessful candidate will be destroyed within 24 months;
• Candidates with Enhanced Competency Framework (ECF): please state on the CV.

About BOCI

As a leading investment bank in China and Hong Kong region, the investment banking arm of Bank of China, BOC International Holdings Limited (“BOCI”), is now seeking highly motivated, creative and success-oriented professional who would like to pursue the career in our group.