- Familiar with SFC regulation on SFC Type 4 and 9 business

- Support daily operation and regulatory requirements

- Manage Discretionary Management Accounts (DMA) for clients

Client Details

Westernized SFC licensed corporate with strong management from banking industry

Description

• Act as Responsible Officer ( Type 4,9 ) with management responsibilities and duties to supervise SFC regulated activities of the firm;
• Provide advice and support to management on daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk management
• Manage Discretionary Management Accounts (DMA) for clients;
• Support key business initiatives on assignment basis;
• Formulate and review trade document (eg ISDA, Loan Agreement and Product Term Sheet)
• Provide regular updates to management and training to staff on changes in regulations and procedures
• Attend to ad hoc compliance issues

Profile

• Degree or above in Finance, Accounting, Economics or business related disciplines;
• Solid years' solid working experience in asset management securities firms;
• SFC registered RO/Qualified Representative for license 1, 4 & 9;
• Good financial market knowledge and strong compliance sense；
• Good command of both spoken and written English & Mandarin;
• Relevant working experience with strong product knowledge, regulatory requirements, and guidelines in real estate fund and asset management is an advantage.

Job Offer

Good package

To apply online please click the 'Apply' button below. For a confidential discussion about this role please contact Hayley Law on +852 3412 4814.