Responsible Officer

Company Overview
Our client, is a fast growing securities firm, are looking for high caliber candidates to fill up the following position:

Job Description
Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm
Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm
Manage daily operations to ensure full regulatory compliance
Comply with all applicable laws, rules and regulations and standard of good market practices

Requirements
Minimum 3 years of solid experience in asset management relating to portfolio management and fund management in any one of the areas: research, proprietary trading (with discretion), private equity, special situations and dealing with alternative investments.
Current holder of SFC unconditional Responsible Officer license for Type 1, Type 4, Type 9 regulated activities preferred. However, current Type 1, Type 4, Type 9 Representatives will also be considered if they have the abovementioned experiences.
Retail (public) fund experience a big plus
Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities 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 fluency of Mandarin)

Additional Job Information
If you are interested in finding out more about this career opportunity, please email your resume or contact Ling at 2537 2557 for more details.

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