SFC Responsible Officer Type 4 & 9 (Flextime)

Responsibilities:

• Act as a Responsible Officer to supervise SFC Type 4 & 9 regulated activities in compliance with SFC regulations.
• Manage and supervise daily fund operations to ensure full regulatory compliance.
• Work with senior management on a company’s investment functions.
• Responsible for analysis and implementation of fund investment plan.
• Liaise with clients, external professionals and communicate with regulatory authorities.
• Perform other ad-hoc projects and assignments as required.

Requirements:

• Degree holder or above in Finance, Economics or a business-related discipline.
• Sound knowledge of SFO, regulations, and guidelines of relevant regulatory authorities.
• Minimum 5 years of relevant experience as a Responsible Officer (unconditional) for Type 4 & 9 regulated activities.
• Solid experience in securities dealing, investment management, and providing investment advice and research.
• Good command of spoken and written English & Chinese (Cantonese & Mandarin)