Responsible Officer (Licensed Corporation)

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 janice@hkjobc.com.  For details, please feel free to contact Dickson at 6365 3508.