Fund Manager (Type 9 RO) – CTBC Securities

CTBC Asia Limited; Hong Kong; Presencial; HKD 1 200 000 - 1 800 000; Tempo integral

Resumo da oferta

CTBC Asia Limited is seeking an experienced professional to supervise Type 9 asset management activities and oversee the lifecycle of in-house private funds in compliance with SFC rules.

You will monitor NAV, cash flow, and valuations, coordinate with administrators, brokers and custodians, and support fundraising and investor relations for private and authorized funds.

Qualificações

• Bachelor’s degree in Finance, Economics, Business, Accounting, or related discipline.
• 3–5 years of fund management, portfolio operations, asset management, or private equity experience.
• Meets the minimum SFC eligibility criteria for Type 9 RO status with relevant supervisory exposure.
• Holds or previously held SFC Type 9 (and/or Type 1, 4) Representative license.
• Passed HKSI licensing examinations (or possess recognized degree exemptions).
• Solid understanding of private fund setup, fund operations, SFC Fund Manager Code of Conduct, and AML/KYC regulations.
• Hands-on attitude; comfortable handling daily operational details while communicating with external allocators.
• Languages: English, Cantonese, and Mandarin.

Responsabilidades

• Act as an SFC Type 9 Responsible Officer (or work towards immediate RO approval) to supervise Type 9 asset management activities in compliance with SFC regulations and internal guidelines.
• Oversee the end-to-end administration, lifecycle, and operational workflow of the firm’s in-house private funds.
• Monitor portfolio positions, cash flow, NAV, corporate actions, and valuations alongside fund administrators, prime brokers, and custodians.
• Conduct regular portfolio reviews, risk management, and post-trade compliance monitoring.
• Coordinate with legal and audit for annual fund audits, investor reports, and regulatory filings.
• Assist senior management in fundraising and client onboarding for the firm’s private funds and authorized public funds.
• Coordinate investor relations, address routine investor inquiries, and support marketing initiatives targeted at high-net-worth individuals (HNWIs), family offices, and institutional partners.

Descrição da oferta de emprego

Key Responsibilities

• Act as an SFC Type 9 Responsible Officer (or work towards immediate RO approval) to supervise Type 9 asset management activities in compliance with SFC regulations and internal guidelines.
• Oversee the end-to-end administration, lifecycle, and operational workflow of the firm’s in-house private funds.
• Monitor portfolio positions, cash flow, NAV, corporate actions, and valuations alongside fund administrators, prime brokers, and custodians.
• Conduct regular portfolio reviews, risk management, and post-trade compliance monitoring.
• Coordinate with legal and audit for annual fund audits, investor reports, and regulatory filings.

Fund Sales & Investor Support

• Assist senior management in fundraising and client onboarding for the firm’s private funds and authorized public funds.
• Coordinate investor relations, address routine investor inquiries, and support marketing initiatives targeted at high-net-worth individuals (HNWIs), family offices, and institutional partners.

Requirements

• Education: Bachelor’s degree in Finance, Economics, Business, Accounting, or a related discipline.
• Minimum 3 to 5 years of relevant experience in fund management, portfolio operations, asset management, or private equity within an SFC-licensed institution.
• Meets the minimum SFC eligibility criteria for Type 9 RO status (i.e. at least 3 years of relevant industry experience in the past 6 years, including minimum required management/supervisory exposure).
• Currently holding or previously held SFC Type 9 (and/or Type 1, 4) Representative license.
• Passed relevant HKSI licensing examinations (or possess recognized degree exemptions).
• Solid understanding of private fund setup, fund operations, SFC Fund Manager Code of Conduct, and AML/KYC regulations.
• Hands‑on attitude; comfortable handling daily operational details while communicating with external allocators.
• Languages: Good command of written and spoken English, Cantonese, and Mandarin.

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