Responsible Officer (SFC Type 9) Responsible Officer (SFC Type 9) …

Mario Recruitment Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 26 May 20
Competitive Package
Mario Recruitment Limited
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 26 May 20
Competitive Package
Our Client is a new Asset Management firm with fintech background. They are now looking for a high calibre with supervisory experience in any boutique/start-up wealth management business with RO Type 9 license.

Job Responsibilities:

  • Act as a Responsible Officer with management responsibilities and duties to supervise SFC Type 9 Regulated Activities  
  • Advise and evaluate on comprehensive portfolio 
  • Provide advice and support to top management in Portfolio Management with different assets class OR expand business scale by performing Sales & Marketing activities
  • Formulate, review and update the operational procedures to ensure full regulatory compliance
  • Assist in communicating with regulatory bodies

Job Requirements:

  • Having 6+ years of solid experience in buy-side asset managers in capacity of supervising regulated activities
  • Having sound knowledge of SFC codes and regulations and risk management controls
  • Current holder of SFC Responsible Office license for Type 9 
  • Having Prior regulatory relationship management experience is preferred
  • Possessing strong leadership, analytical, communication and presentation skills
  • A holder of bachelor degree or above
  • A native or business professional level speaker of Cantonese, Mandarin or English

     

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