Key Responsibilities
- Compliance: Ensure Type 4 (securities advice) & Type 9 (asset management) business compliance with HK regulations.
- Supervision: Review investment advice, oversee asset management, and guide teams on regulatory requirements.
- Coordination: Liaise with SFC, submit reports, and collaborate with internal teams for smooth operations.
Qualifications
- License: Hold or can obtain RO qualification for Type 4 and 9 licenses.
- Experience: 5+ years in HK finance, 3+ years in relevant licensed business.
- Skills: Strong regulatory knowledge, good financial acumen, fluent in English & Chinese.
- Traits: Detail - oriented, strong problem - solver, adaptable to fast - paced work.