Job Description:

• Act as the Responsible Officer and Manager-In-Charge (MIC) for Types 4 and 9 regulated activities, with management responsibilities and duties to supervise the middle and back office regulated businesses of the Company.
• Act as MIC of any positions: Operation Control/Compliance/Anti-Money Laundering (AML)/ Finance/IT, taking necessary actions to ensure all business activities comply with Hong Kong Securities and Futures Commission (SFC) rules and company guidelines.
• Liaise with the SFC on related matters and licensing issues.
• Assist in writing and maintaining proper documentation of all operations, policies, and procedures, including operational and risk control procedures. 

Job Requirements:

• University graduates in business related disciplines;
• Minimum 5 years management experience in asset management company or securities firm;
• Current holding of SFC unconditional Responsible Officer license for Types 4 & 9 regulated activities is more favourable;
• Sound knowledge of SFO, regulations, and guidelines of relevant regulatory authorities(such as SFC), risk management control;
• Good command of written & spoken English and Chinese (including Mandarin)