Overview
Our asset management company is seeking a dedicated Responsible Officer (RO) to join the team as a key individual performer (KIP) for our retail fund. We are committed to delivering exceptional investment solutions and maintaining strong relationships with our clients while ensuring regulatory compliance.
What You Will Do
- Oversee and ensure compliance with regulatory requirements; work with the legal team to prepare and file the necessary regulatory documents with the SFC
- Act as the primary point of contact with SFC for all ETF -related matters, including compliance and regulatory reporting.
- Develop and implement the overall ETF strategy, compliance policies and procedures
- Monitor and report on fund performance and risk management
- Conduct regular compliance reviews and audits; to ensure that all ETF -related activities are in compliance with relevant regulations.
- Conduct market research and analysis to identify potential opportunities and risks for the ETF product
- Stay updated on regulatory changes affecting retail funds
- Participate in the development and launch of new ETF products
- Assist in preparing and reviewing fund documentation and disclosures, prepare regular performance reports for the ETF as required
What You Will Need
- Bachelor's degree in Finance, Law, Business Administration, or a related field
- At least 5+ years of experience in ETF -related roles, with a strong track record of success.
- Proven experience as a Responsible Officer or in a similar compliance role in the fund management industry
- In-depth knowledge of ETF products, trading, and regulations.
- Ability to interpret and apply complex regulations
- Analytical skills with the ability to assess compliance risks
- Relevant financial and compliance certifications are preferred
- Part-time arrangement is welcome
