Responsible Officer (Type 1, 4, 9)

  • Competitive salary package & attractive remuneration
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Qian Long Assets Management Company Limited
  • 21 May 18 2018-05-21

Qian Long Assets Management Company Limited is a wholly-owned subsidiary of China Financial Services Holdings Limited listed on the main board of Stock Exchange of Hong Kong (Stock Code: 0605). We are an established Asset Management firm with Type 4 and 9 license, and are looking to apply Type 1 license. We are looking for a high caliber candidate to assist in the application of Type 1 license and for business expansion.

Job Responsibilities:
• Act as a Responsible Officer with management responsibilities and duties to supervise SFC Type 1, 4 and 9 Regulated Activities. Candidates with sufficient experience being Representatives for Type 1, 4 and Type 9 will be considered as well.
• Assist in the application of Type 1 license, including setting up the infrastructure, formulate operation procedures and workflow in the new licence application.
• Assist top management in strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management.
• Formulate, review and update the operational procedures to ensure full regulatory compliance.
• Manage regulatory inquiries, inspections and other communication with regulators.


Job Requirements:
• 5+ years of experience in brokerage and investment banks or in buy-side asset managers in capacity of supervising regulated activities.
• Prefer current holder of Type 1 Responsible Officer.
• Sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls.
• Attention to detail and strong analytical skills.
• Strong leadership, analytical, communication and presentation skills.
• A holder of bachelor degree or above.
• Excellent command of written and spoken English and Chinese.

 

We offer attractive remuneration package to the right candidates. Interested parties please click "Apply" to submit your application

 

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