SFC Type 1, 4, and 9 Responsible Officer

Twelve Squared Capital

Key Responsibilities:

Act as Responsible Officer for Type 1,4 & 9 licensed activities, with management responsibilities and duties to supervise SFC regulated activities of the firm
Assist in SFC Type 4 & 9 license applications, operations and infrastructure of the firm
Manage daily operations to ensure full regulatory compliance
Provide advice and support to the top management on strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
Periodically review and strategize operating procedures for improvements;
Coordinate effectively with existing and potential business partners to effectively achieve business goals.

Requirements:

Minimum 5 years of experience
Current holder of SFC unconditional Responsible Officer licenses for Type 1, 4 and 9
Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
Solid understanding about operations, risk controls and investment process
Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
Good command of written & spoken English and Chinese (including Mandarin)
Retail (public) fund experience is a big plus
Perform ad-hoc projects as assigned
Team player, good interpersonal and communication skills

Thanks for your attention. All applications received are for evaluation purposes only and will be kept confidential

A financial subsidiary of an HK Listco is looking for a full time Type 1, 4, and 9 Responsible Officer.

Twelve Squared Capital currently has Type 1 SFC License and in the process of applying for Type 4 & 9.

Apply

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