Responsible Officer Type 4/9
Fillture Group Limited
- Company Industries：Human Resources Management/Consultancy
Job Information
- Post Date：2020-04-03
- Career Level：Senior
- Location：Not Specified
- Yr(s) of Exp：7 years
- Qualification：Degree
- Salary：Salary provided
- Employment Type：Full Time, Permanent
- Job Function：Asset Management
Job Description
Our client is a newly established Financial Group, their Asset Under Management (AUM) to date has exceeded one billion US dollars. Currently holding SFC licenses 4 & 9, they
are now inviting high caliber candidates with strong PE / Investment experience to join the team.
Responsibilities:
- Act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities in Type 9 business in particular in fund management
- Provide advice and support to 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
- Formulate, review and update the operational procedures to ensure full regulatory compliance
- Establish proper documentation of all regulated activities
- Handle compliance cases and complaints
- Assist in communicating with regulatory bodies
Requirements:
- A holder of bachelor degree or above
- Having 7+ years of solid experience
- Having sound knowledge of SFO, SFC codes & guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls
- Current holder of SFC Responsible Office license for Type 4 and 9 RA preferred; experienced Licensed Rep will also be considered
- Strong relationship management experience is highly preferred
- Competitive incentive plan for business development
Apply for this job
Interested candidate please CLICK apply button to apply online or send your resume in MS word format to Fillture Group Limited
For more information please contact Danvis Lau +852 2814 9388.
Please note that only shortlisted candidate will be notified. All information will be treated in strict confidence and solely used for recruitment purposes.
Company Info
Back stories over plain numbers.
Fillture’s success is predicated upon building deep and genuine relationships with candidates and our partners from all walks of life. We believe every individual is unique and value-adding in his own way. Matching the right position with the special individual is the core of our beliefs.
It’s not about finding the best talent. It’s about discovering the most seamless fit for both the candidate and company, driving both sides to learn and grow together while navigating the world of work together.
Our experts leverage the years of experience under their belt while keeping up with the ever-changing trends and demands in the industry. We aim to provide every candidate with a less bumpy ride to their eventual engagement and employers with an opportunity at transforming their business by collaborating with the right individual.
Nothing excites us more than seeing our partners and candidates challenge themselves by going beyond their capabilities. Nothing is more satisfying than witnessing them defy the odds and carve their own distinct yet exclusive path. No matter how far they go in life, we will always be standing behind them, ready to support them in unlocking their true potential.
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