Responsible Officer (Type 1,4,9)

Pearl International Securities Limited; Hong Kong; Vor Ort; HKD 700.000 - 1.000.000; Vollzeit

Zusammenfassung

Pearl International Securities Limited is seeking a qualified Responsible Officer to supervise regulated activities and ensure full regulatory compliance across daily operations, KYC/AML, and fund administration. The role requires strong knowledge of SFO rules, English and Chinese proficiency, and Putonghua fluency.

You will liaise with custodians, prime brokers, auditors, and trustees in a fast-paced environment.

Qualifikationen

• Holder of SFC Type 1/4/9 Responsible Officer license.
• Bachelor’s degree in Finance, Economics, Business or related disciplines preferable.
• Experience in QFLP or Bonds or OFC highly preferred.
• Solid knowledge of SFO, regulations and guidelines of relevant regulatory authorities.
• Good command of written & spoken English and Chinese, fluent Putonghua is a MUST.

Aufgaben

• Supervise Type 1/4/9 regulated activities and ensure the business operation complies with regulatory requirements and internal policies.
• Manage daily operations/investment to ensure full regulatory compliance.
• Oversee and monitor KYC, AML and account opening processes, review monthly FRR.
• Handle ad-hoc duties as required.
• Manage daily fund operations including subscriptions, redemptions, cash transfers, and client monthly statements; liaise with Fund Administrators to verify NAV data.
• Coordinate with external service providers including custodians, prime brokers, fund administrators, trustees, and auditors.
• Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations including the SFC Code of Conduct.

Kenntnisse

Regulatory compliance

KYC/AML

Bilingual English/Chinese

Stakeholder coordination

Ausbildung

Bachelor's degree in Finance/Economics/Business

Jobbeschreibung

- Supervise Type 1/4/9 regulated activities and ensure the business operation in compliance with all relevant regulatory requirements and internal policies.

- Manage daily operations / Investment to ensure full regulatory compliance.

- Oversee and monitor KYC, AML and account opening process, review monthly FRR.

- Handle any other ad-hoc duties as required.

- Handle daily fund operations including subscriptions, redemptions, cash transfers, and client monthly statements. Liaise with Fund Administrators to calculate, verify, and reconcile Net Asset Value (NAV) data.

- Coordinate effectively with external service providers including custodians, prime brokers, fund administrators, trustees, and auditors.

- Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and relevant guidelines.

Requirements:

- Holder of SFC Type 1/4/9 Responsible Officer license.

- Bachelor’s degree in Finance, Economics, Business or other related disciplines preferable.

- Experience in QFLP or Bonds or OFC is highly preferred.

- Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control.

- Good command of written & spoken English and Chinese, fluent Putonghua is a MUST.