We are currently in the process of applying to the Hong Kong SFC for Type 4 (advising on securities) and Type 9 (Asset Management) regulated activities license. As part of this expansion, we are seeking 1 - 2 highly skilled and experienced individuals to join our team as Responsible Officers. The key functions of these roles include:

1. Act as the Responsible Officer for Type 4 (advising on securities) and Type 9 (Asset Management) SFC regulated activities.

2. Oversee the daily operations and management of the company with a primary focus on maintaining full regulatory compliance.

3. Develop, review and update the operations procedures of the company to ensure full compliant with SFC regulations.

4. Prepare and submit all required regulatory reports to the SFC in a timely and accurate manner. Maintain regular communication with the SFC and other regulatory bodies to ensure that the company is fully informed of any regulatory changes and to address any queries or concerns they may have.

5. Provide expert investment advice to clients, helping them make informed decisions on securities investments and asset management strategies.

6. Conduct thorough market research and analysis to identify investment opportunities and trends, and adjust investment strategies accordingly.

7. Develop and implement investment strategies tailored to clients’ financial goals, risk profiles, and investment horizons.

8. Monitor and evaluate the performance of investment portfolios, providing regular reports to clients and making recommendations for portfolio rebalancing and optimization.

9. Conduct regular risk assessments to identify potential compliance risks and vulnerabilities. Develop and implement risk mitigation strategies to minimize the likelihood and impact of these risks on the company’s operations.

At least 5 years of experience in asset management, investment and finance industry, preferably with exposure to SFC regulated activities and compliance experience.

Strong communication skills to collaborate effectively with cross-functional teams and provide actionable advice.

Excellent analytical and problem-solving abilities to address complex operational challenges independently.

Educational background: Bachelor or above degrees in accounting, business administration, economics, finance and law. A relevant professional qualification, such as CFA, CAMS , CFE, CPA, etc. would be an advantage.

Language: Good command of written and spoken English and Mandarin.