RESPONSIBLE OFFICER - TYPE 9

Reference Number : VSA-1088

 


Classification: Banking & Financial Services / Asset Management

Date Added: 11/9/2014

Work Type: Permanent   

Location: Hong Kong

Salary: ---

 

 


 

 


Job Description:

Our client is a Shanghai-based asset management firm with a focus on equity investments in the Greater China region. Due to the recently expansion of their presence into Hong Kong, they are now looking for a Responsible Officer with Type 9 license holder to join the team in Hong Kong.



Main job responsibilities include:
1. Responsible for assisting the company to apply SFC license type 9
2. Ensure daily routine and operations in compliance with the Company policies, statutory rules and regulations
3. Act as the contact point to SFC and other regulated bodies for SFC Type 9 RA
4. Participate in new fund product launch in the future; participate in marketing, client servicing activities
5. Assist the fund manager on project research work

Job Requirements:
1. Sound understanding of Securities and Futures Ordinance, regulations and guidelines of relevant regulatory authorities and risk management control; good financial market knowledge and strong compliance sense
2. Preferably handling in applying SFC license for a new setup asset management company; be registered under SFC RA9 type license as Responsible Officer
3. Self-motivated with excellent communication, interpersonal, organization and problem solving skills
4. Fluent in English and Mandarin in a must

Contact Bryan Lim on +852 2297 2346 or blim@valuesearchasia.com
APPLY NOW by clicking the button below quoting reference number VSA-1088

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