Key Responsibilities:

• Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm 
• Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm 
• Manage daily operations to ensure full regulatory compliance
• Comply with all applicable laws, rules and regulations and standard of good market practices

Requirements:

• Minimum 5 years of solid experience in SFC licensed firms relating to any one of the areas: portfolio management, dealing, research, proprietary trading, discretionary account management, private equity, special situations, corporate finance, ATS, and credit rating.
• Current holder of SFC Responsible Officer license for Type 1/ 2/ 4/ 6 /7 / 9/ 10 regulated activities preferred. However, current Representatives will also be considered if they have the abovementioned experiences.
• Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
• Solid understanding about middle and back office operations, risk controls and investment process of fund management companies a plus
• Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
• Good command of written & spoken English and Chinese (including Mandarin)

Interest parties please send your full resume with expected salary and availability date

All information will be kept strictly confidential 

TeamPlus Consulting Limited is a licensed employment agency offering total HR solutions to SFC licensed firms in Hong Kong. TeamPlus specialises in referring Responsible Officers (“ROs”) and middle and back office staff (operations, risk, accounting and compliance)  to clients. TeamPlus is an affiliated company of CompliancePlus Consulting Limited. 

CompliancePlus is a leading independent consulting firm focused on providing a complete range of proven and reliable compliance solutions to licensed firms, fund management companies and hedge fund managers in Asia. We were awarded "The Best Compliance Services Provider" in 2013 & 2017 by AsianInvestor, and the "Top 10 RegTech Consulting/ Services Companies - 2019" by APAC CIO Outlook.  Our dedicated team of compliance officers has years of professional experience equipped with in-depth knowledge of both functional and compliance experience in managing and minimizing regulatory, operational and reputational risks.  

As an award-winning industry leader providing compliance solutions and insights to financial institutions and hedge fund managers in Asia, CompliancePlus brings the most comprehensive and value-added compliance services to our clients, enhancing their competitiveness in the finance industry. We also devote substantial resources in staff training and development.