對沖基金 RO

RO-Work Responsibilities

Compliance and regulatory affairs

2. License application: If the company needs to apply for relevant licenses (such as 4th and 9th licenses), assist with completing application materials and submission

3. Business supervision and risk management, establish market risk, credit risk and operational risk assessment mechanism, set transaction limits and monitor abnormal fluctuations

Market and sales support

1. Sales material compliance: Conduct a legal bottom-up review of fund raising documents, roadshow PPT, performance statements, etc., to ensure compliance with SFC requirements

2. Cross-border sales compliance: Evaluate the overseas sales compliance of the fund (such as the private placement exemption terms of Singapore MAS and the Middle East DFSA), and manage overseas investor documents

3. Customer complaint handling: Lead major complaint investigations and submit the Annual Report on Complaint Events to the SFC

Hard requirements:

1. License requirements: Currently holding a Hong Kong 4/9 license as a RO, with at least 3 years of actual RO experience

2. Professional experience: More than 6 years of asset management/fund compliance experience, with at least 3 years of dedicated focus on the quantitative fund sector

3. Need to be based in Hong Kong, with Hong Kong work qualifications such as high talent, outstanding talent or permanent residency

Professional skills:

1. Deep understanding of SFC and HKMA regulatory rules, familiar with the Securities and Futures Ordinance, SFC Professional Conduct Guidelines and global securities regulatory trends, and familiar with AML/CFT (Anti-Money Laundering/Counter-Terrorist Financing), PI (Personal Data Privacy) regulations

2. Have quantitative risk control practical ability: able to interpret risk control models based on strategy code.