Sonia SO and Associates Job Board: Responsible Officer, RO Type 9

Job Description
Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the company.

Assist in SFC license application and setting up of infrastructure of AM business.

Formulate, review and update the operation procedures to ensure full compliance.

Participate in product development, client servicing and marketing activities.

Assist in private fund projects and discretionary accounts management, liaising with service providers and other stakeholders.

Job Requirements:
Degree Holder in Finance or Business related disciplines.

Minimum 3 years of solid experience in asset management relating to portfolio management and fund operation and product development.
Current holder of SFC unconditional or conditional RO license for Type 4 and Type 9 regulated activities.

Sound knowledge of SFO regulations and guidelines of relevant regulatory authorities and strong compliance sense.

Solid understanding about middle and back office operations, risk controls and investment process of asset management firms.
Proficiency in written and spoken English and Chinese (including Mandarin)

Interested candidates please send your cv to

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