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Type 4 & 9 Responsible Officer

HOPE Hong Kong
Posted 2 days ago In-Office Permanent Competitive Compensation
Posted by
HR .
HR Manager
We are hiring a Full-Time Type 4 & 9 RO for an Asset Management firm whom will be responsible for supervising designated SFC regulated activities and uphold SFC compliance procedures and regulations.


• Act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities in Type 4 & 9 business in particular

• Responsible for strategies development, supervisory and implement the operations in asset management and funds

• Ensure compliance with relevant codes, laws and regulations and involve in business development activities

• Cooperate with legal advisors to design fund structure, draft fund offering documents, and register funds and record products with regulatory agencies

• Lead and manage the full cycle investment scope from sourcing, evaluation, originating asset management related financing to execute and close the transactions

• Formulate, review and update the operational policies and procedures to ensure full regulatory compliance

• Ensure the operations of internal control procedures to comply with the regulatory requirements

• Work closely with the internal top management group, investment committees, marketing business unit, involving in the marketing planning, projects, and business development coordination

• Review and resolve performance metrics such as revenue information discrepancies

• Responsible in investment decisions making and portfolio management



• Degree or above in Finance, Accountancy, Business Administration, Law or related discipline

• Qualified Licensed Holder of SFC Type 4 & 9

• Solid knowledge in financial products, asset management, funds or capital investment products

• Strong analytical and good interpersonal and presentation skills, highly-motivated and able to work independently, with minimum 3 years of managerial experiences.

• Well understanding of SFC regulatory regime, portfolio construction and performance measurement

• Solid understanding about middle and back office operations, risk controls and investment process of asset management companies

• Fluency in English, Chinese (Cantonese & Mandarin) in both spoken and written

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