Responsible Officer - Type 1, 4, 9

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Solomon Asset Management (Hong Kong) Limited
  • 13 Aug 18 2018-08-13

We are looking for high-calibre talents to join our dynamic team with diverse experience in the financial industry.



Job Responsibilities:

  • Supervise SFC type 1, 4, 9 regulated activities
  • Ensure daily operation being fully compliant with regulations
  • Work with senior management on firm’s investment functions
  • Regularly review and update the operation procedures and manual to ensure full regulatory compliance
  • Assist in fund initiatives such as fund formation and product development
  • Liaise with SFC for regulated activities related matters


Job Requirements:

  • Degree holder in Finance, Business or related disciplines
  • Current Responsible Officer / licensed representative with 3+ years management experience in SFC type 1, 4, 9 regulated activities
  • Sound knowledge of SFO, SFC Code of Conducts and applicable laws and regulations
  • Sound knowledge of operation, compliance and risk management
  • Attention to detail and strong analytical skill
  • Strong leadership and team player with strong responsibility and integrity
  • Good command of written and spoken English, Cantonese and Mandarin