Regal Executives Limited

Business Registration Certificate - Platform Verification Approved

Recruitment of Hong Kong Securities and Futures Commission (SFC) Class 9 Responsible Officer license (Big RO)

Well-known Chinese financial institution, holding licenses for categories 1, 2, 4, 5, and 9, with over 100 employees. Currently seeking experienced responsible personnel (category 9) to join the asset management team, primarily responsible for upgrading the license from "Professional Investors Only" (PI only) to "Unconditional" (unconditional), thereby qualifying for the issuance of public offering funds and exchange-traded funds (ETFs).

Responsibilities:

- Serve as the 9th category responsible person, support the daily operation of asset management business, and lead the license upgrade to an unconditional license

- Participate in investment activities, including evaluating investment projects, monitoring investment portfolios, and managing risks

- Assist in the establishment of funds, development and management of investment products

- Ensure compliance with the Securities and Futures Commission (SFC) regulations and the company's internal policies

- Support fundraising work, investor relations and business expansion

- Collaborate with internal teams and external partners to handle fund operations, governance, and reporting matters

Entry Requirements:

- Holding a Hong Kong Securities and Futures Commission (SFC) Class 9 Responsible Officer license

- At least 5 years of experience in public fund asset management companies

- Have investment and product management experience

- Familiar with the operation and establishment process of public funds

- Good communication, leadership and stakeholder management skills

- Fluent English and Chinese (Mandarin preferred)