Our Clients are Asset Management companies in HK, they are searching for qualified professionals to be their Responsible Officers for Type 1, 4, 6, 9 activities.  

For RO for License 1 or 4 or  9:

Responsibilities:

• Act as Responsible Officer to supervise SFC Type 1, 4  or 9 regulated activities
• Supervise daily securities operations
• Formulate, review and update the operations procedures to ensure full regulatory compliance
• Develop and implement business planning, corporate development strategy and marketing plan
• Other ad hoc duties relating to SFC requirements
• May consider part-time too if interested

 Requirements:

• SFC license 1, 4 or 9 holder
• Degree holder with at least 3 years experience on the licensed activities within private bank, asset management companies and other banking sectors 
• Excellent command of spoken and written English and Chinese including Mandarin and Cantonese.
• Sound knowledge of SFO, SFC Code of Conduct and rules

For RO for License 6:

Responsibilities:

• Act as Responsible Officer to supervise SFC Type 6 regulated activities
• Coordinate corporate finance transactions, such as initial public offerings, securities placings and mergers & acquisitions, ECM or DCM, etc
• Guide corporate finance staff to carry out corporate finance activities including but not limited to market/industry research, financial analysis, due diligence, documentation, manage client relationship
• Keep abreast of market/corporate developments, and relevant rules and regulations
• Other ad hoc duties relating to SFC requirements
• May consider part-time too if interested

Requirements:

• SFC license 6 holder
• Degree holder with minimum 3 years of solid experience in corporate finance business in Hong Kong
• Proven track record in handling IPOs, securities placings or financial advisory assignments
• Sound knowledge of the Listing Rules (and / or the Takeovers Code), and other relevant rules and regulations
• Excellent command of spoken and written English and Chinese including Mandarin and Cantonese.
• Sound knowledge of SFO, SFC Code of Conduct and rules

Interested parties, please apply with your detailed resume in WORD format, highlighting which SFC Licenses you hold, quoting reference ‘RO_July 23, 2017’.

All data provided will be treated in strict confidence and for recruitment purpose only. Only short listed candidates will be notified.

We are a Canadian based executive search firm specializing in middle to senior management recruitment for banking, IT and commercial sectors. Our firm works as a LONG TERM STRATEGIC PARTNER to our Clients to maximize the value of human capital management, underpinning the success of their business.  We maintain the HIGHEST PROFESSIONAL ETHICS to protect the interest of our Clients and Candidates to develop long-standing relationships.

Atkinson Lambert - A member of Atkinson Group
Suite 1901, Level 19, 2 Queen's Road Central, Central, Hong Kong
email: [email protected]
website: www.atkinson-lambert.com
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