Responsible Officer for Regulated Activity 9 – AM

(Ref No. HKJC-142-2018)

A newly-established Asset Management Company is expanding its fund management business in Hong Kong and the Greater China.  To cater for its rapid development, we are now looking for a Responsible Officer for Asset Management.  Reporting to the MD, the incumbent is responsible for:


  • Responsible for business planning & corporate development to achieve long-term growth of the Brokerage business
  • Responsible for developing and implementing sales strategies and leading branch staff to provide quality services and promote a full range of investment securities products to customers.
  • Lead a team of professionals to place all kind of orders for our sales persons including both of local and global markets precisely and quickly.
  • Review SFC’s documents and ensure all the activities be complied with the SFC’s Ordinance and rules & regulation.


  • University degree and preferably with an MBA and relevant professional qualifications.
  • At least 10 years’ relevant experience in securities industry with a minimum of 10 years senior management level, business planning and branch operation management
  • Possess License status of SFC in RA9
  • Clear understanding of the Hong Kong business environment, with a track record of delivering successful & profitable business growth.
  • In depth knowledge of financial products especially derivatives, and with minimum 5 years trading or dealing experience with derivatives.
  • Excellent sales management and excellent interpersonal & communications skills
  • Result-oriented, innovative problem solving technique
  • Fluent written and spoken English & Chinese.

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