Responsible Officer

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Hong Kong Energy Blockchain Ltd
  • 19 Jul 18 2018-07-19

We are a new Green Fintech Investment Banking business and Fintech firm now looking for a high calibre candidate with good leadership for our Investment Service and Asset Management team for our Hong Kong office.

Job Responsibilities:

  • Act as a Responsible Officer (current license preferred) with management responsibilities and duties to supervise SFC Type 1, 4 and 9 Regulated Activities  
  • Advise and evaluate on Green Finance and Energy related Asset Back Securities and/or Structured Investment Products offering to Professional and Institutional Investors.
  • Provide advice and support to top management in Portfolio Management with different assets class (equities, fixed income, derivatives, funds…etc)
  • Assist top management in strategic activities and daily operations in compliance with all relevant regulatory requirements and applicable laws as well as credit and risk control management
  • Formulate, review and update the operational procedures to ensure full regulatory compliance
  • Assist in communicating with regulatory bodies
  • Client interface

 Job Requirements:

  • Having 5+ years of solid experience in brokerage and investment banks or in sell-side asset managers in capacity of supervising regulated activities
  • Green Finance Supporter and Fintech Lover.
  • Having sound knowledge of HKEx listing rules, SFO, SFC codes and guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls.
  • Current holder of SFC Responsible Office license for Type 1, 4, 9 preferred but not mandatory
  • Having Prior regulatory relationship management experience is preferred
  • Possessing strong leadership, analytical, communication and presentation skills
  • A holder of related bachelor degree or above
  • Business professional level speaker of English, Cantonese and Mandarin. Cantonese and Mandarin are preferred but not a must.

Interested candidates please send the resume to