Responsible Officer (Type 1,4 & 9)

The Core Securities Company Limited

  • Central, Hong Kong
  • Permanent
  • Full-time
  • 8 days ago
ResponsibilitiesAct as Responsible Officer for SFC Type 1, 4 and 9 regulated activitiesMust acquire new clients and asset independently as well as the ability to build a successful sales teamFollow company direction and service existing clientsTraveling to Mainland China is requiredFormulate, review and update the operations proceduresParticipate in investment products launchDeliver investment performances according to established risk and return targets of each portfolioConduct investment research and analysisConduct fund management and periodic review of investment portfolioMonitor daily asset management business operations to ensure the workflow is complied with the relevant rules and regulationsAssist senior management on the Firm’s investment functionRequirementsMust be a current SFC Type 1, 4 and 9 Responsible Officer License holder (Unconditional status for at least 2 years)Minimum 3 years of trading experience in HK and US stocks and mutual fund is requiredMust demonstrate the ability and skill in successful new client and asset acquisitionsMust meet sales performance by transactions, services, products and revenueAt least 3~5 years relevant fund management working experienceMust be flexible to work in flexible hours to accommodate various exchange marketsMust familiar with Bloomberg and MorningstarUnderstanding of settlement of Hong Kong and US stocksFamiliar with portfolio construction and performance measurement using financial toolsStrong business sense and in-depth knowledge of the asset management industryProactive, good interpersonal skill and able to work under pressureFluent in speaking and writing skills in both English and Chinese languagesAll applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

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