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Type 1, 3,4,9 RO

Hong Kong Permanent View Job Description
Our client, a dynamic brokerage firm established in Hong Kong for over 20 years, operates across Greater China, Southeast Asia, and the US. They are seeking to hire two Responsible Officers for SFC Type 3 and one for Type 1, 4, and 9 in Hong Kong. Candidates who are fluent in Mandarin and currently serve as Sole Responsible Officers in similar financial institutions are preferred.
  • A well established Hong Kong based brokerage firm with global presence
  • Highly value stability and massive room for growth and promotion

About Our Client

A dynamic brokerage firm established in Hong Kong for over 20 years, operates across Greater China, Southeast Asia, and the US.

Job Description

  • Serve as Responsible Officer for SFC Type 1, 3, 4, and 9 regulated activities.
  • Independently acquire new clients and assets while building a successful sales team.
  • Follow company directives and provide service to existing clients.
  • Travel to Mainland China as needed.
  • Develop, review, and update operational procedures.
  • Participate in the launch of investment products.
  • Achieve investment performance aligned with established risk and return targets for each portfolio.
  • Conduct investment research and analysis.
  • Manage fund operations and perform periodic reviews of investment portfolios.
  • Ensure daily asset management operations comply with relevant regulations.
  • Support senior management in the firm's investment functions.

The Successful Applicant

  • Must hold an unconditional SFC Type 1, 3, 4, and 9 Responsible Officer License for at least two years.
  • Minimum of three years of trading experience in Hong Kong and US stocks, as well as mutual funds.
  • Proven ability to successfully acquire new clients and assets.
  • Meet sales performance targets related to transactions, services, products, and revenue.
  • At least 3-5 years of relevant experience in fund management.
  • Willingness to work flexible hours to accommodate various market exchanges.
  • Proficient in Bloomberg and Morningstar.
  • Knowledge of settlement processes for Hong Kong and US stocks.
  • Familiarity with portfolio construction and performance measurement using financial tools.
  • Strong business acumen and comprehensive knowledge of the asset management industry.
  • Proactive with good interpersonal skills and the ability to work under pressure.
  • Fluent in both English and Chinese, with strong speaking and writing skills.

What's on Offer

  • 13months of salary


  • highly value stability and lots of room to grow and get promoted
Contact
Aiko Zhang
Quote job ref
JN-122024-6611905
Phone number
+852 2848 4712

Job summary

Function
Banking & Financial Services
Specialisation
Sales & Trading
What is your area of specialisation?
Financial Services
Location
Hong Kong
Job Type:
Permanent
Consultant name
Aiko Zhang
Consultant phone
+852 2848 4712
Job Reference
JN-122024-6611905

Diversity & Inclusion at Michael Page

We don't just accept difference - we celebrate it. We encourage applicants from all backgrounds to apply for this role and are committed to building inclusive, diverse workplaces where everyone can thrive. If you require any support or reasonable adjustments during the recruitment process, please let us know.