Type 9 RO

Responsibilities:

• Assist in applying for SFC Type 9 License;
• Act as Responsible Officer to supervise SFC Type 9 regulated activities;
• Supervise and manage daily operations to ensure full regulatory compliance;
• Formulate, review and update the operations procedures;
• Comply with all applicable laws, rules and regulations and standard of good market practices;
• Handle compliance cases and complaints；
• Conduct research and analysis on equities.

Requirements:

• Minimum 3 years of Type 9 representative experience;
• Bachelor degree in Finance/ Business or related disciplines;
• Competence in independent portfolio management is a plus;
• Strong analytical, presentation, interpersonal skills and able to work under pressure;
• Excellent in spoken and written English and Chinese. Fluent Mandarin is a must.
• Flexible hour Type 9 RO will also be considered.

Please submit your full resume, CE No. and current & expected packages to us via JobsDB.

思达资本（SFC：BGP562）持有香港证监会颁发的4号牌 照（就证券投资提供意见）及9号牌照（提供资产管理）， 为投资者提供股权债权投资、产业基金设立、资本对接和 运作等综合金融解决方案。公司经营建基于互利互惠、合作共赢，公司无任何不良征 信记录和行政处罚记录，亦无被列入经营异常名录和严重 违法失信企业名单。