Responsible Officer (SFC Type 4 & 9 License with PE fund experience)

Our client is now aiming to apply for an SFC license to conduct Type 4 and 9 regulated activities in Hong Kong . Currently, they are seeking 2 Responsible Officers (Full and Part time) with primary market fund experience to join their team.

RESPONSIBILITIES

• Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm

• Act as the Responsible Officer licensed by the Hong Kong Securities and Futures Commission (SFC), lead the overall management of the company's Type 4 and 9 regulated activities

• Act as the primary point of contract and liaison with the Hong Kong Securities and Futures Commission (SFC) for licensing matters regarding to the company’s Type 4 and 9 licenses

• Assist to develop, implement, and continuously enhance the firm’s comprehensive compliance framework, including policies, operation procedures, and controls manuals. Ensure that daily business operations comply with the regulations of SFC and internal compliance requirements

• Keeping up-to-date with changes in financial regulations and best practices

REQUIREMENTS

• Bachelor degree holder or above in finance, economics, or business-related fields

• Currently be or able be accredited by SFC as unconditional Responsible Officer for Type 4 & 9 licenses.

• Minimum of 3 years of relevant experience in the financial services industry. Experience in managing asset management business.

• Be familiar with the regulatory framework of the Hong Kong Securities and Futures Commission and business operation procedures. Have a deep understanding of Hong Kong's securities market regulations, compliance requirements and risk controls.

• Strong communication and interpersonal skills, with the ability to effectively liaise with regulatory authorities and internal stakeholders

• Good command of written & spoken English and Chinese (including Mandarin)

Interested parties please send us a resume with the experience, current and expected salary. All the information received will be kept in strict confidence and solely for recruitment purposes.