Responsible Officer - Type 4 & 9
- Supervise daily operations & SFC regulated activities in compliance with HKSFC regulations.
- Set up procedures of the company to comply with relevant regulations and laws.
- Perform risk control, and execute trading orders accurately; Assess the key risks, weaknesses, and strengths of a transaction; Perform economic investment return and capital structure analysis; Handle investment analysis, company funds portfolio management, fund, and hedge funds.
- Revise joint-venture partnership agreements and control the fund invest and manage the investor's return on investment.
- Solid understanding about middle-back office operations, risk controls and investment process of fund management companies.
- Create and present investment summaries to the directors for approval; To formulate, review and update the operational procedures to ensure full regulatory compliance.
- Communicate and coordinate partner expectations all through the underwriting process under the direction of the directors, applying proactive and positive attitude.
- Ensure regular update deal underwriting progress to the directors, including due diligence review, process checklist review, issue identification, and transaction timing.
- Good at writing investment documents in English and Chinese.
- Handle in ad-hoc project(s) as required by the directors.
- Master's degree or above, with a background in financial engineering/mathematics/actuarial science and engineering, and CFA, FRM certificate is preferred; having the professional knowledge of investment, actuarial, insurance, finance and other relevant fields.
- MUST be registered under SFC type 4 & 9 license.
- Minimum of 5 years asset management experience of quantitative risk management in financial institutions such as insurance, asset management, and capital use risk management is preferred;
- Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control. Previous fund experience in setting up new asset management platform is highly preferable. Good financial market knowledge and strong compliance sense.
- Team player, cheerful personality, strong responsibility, honesty and trustworthiness, excellent work ethic and integrity.
- Proven ability to handle multiple tasks simultaneously and effectively in a fast place work setting and meeting project deadlines.
- Fluent in Cantonese, Putonghua, good written and spoken in English, immediately available is preferred.