Executive Officer, Wealth Management (Type 9 license)

Job Responsibilities:

• Oversee and manage Type 9 licensed activities under regulatory requirements.
• Lead the development and execution of investment strategies for discretionary portfolios, including asset allocation, performance monitoring, and strategy formulation.
• Establish and refine processes for investment decisions, risk management, KYC/AML, trade execution, and compliance.
• Conduct thorough market research, analyzing economic trends, industry data, and market indicators, and prepare detailed analytical reports.
• Utilize research findings to develop investment strategies for model portfolios and asset allocation frameworks.
• Ensure effective implementation of model portfolios, monitoring risk management, trade execution, and compliance with internal protocols and regulations.
• Analyze portfolio performance to identify risks and opportunities, proposing enhancements as needed.
• Maintain strong internal controls and reporting mechanisms to support compliance and risk management efforts.

Job Requirements:

• A minimum of 3 years of experience in asset management within the past 6 years; and at least 2 years of managerial experience.
• Possession of a regulatory license relevant to portfolio management is preferred, with prior experience as a licensed individual being advantageous.
• Background in portfolio management and discretionary services is required for non-regulated candidates.
• Experience in banking, securities, asset management, or fund management is highly desirable.
• Deep knowledge of financial markets, investment strategies, and regulatory compliance.
• Proficiency in financial modeling and data analysis tools (e.g., Excel, Bloomberg).
• Strong leadership, analytical, and problem-solving skills.
• Ability to work independently and collaboratively in a fast-paced environment.
• Fluent in English, with proficiency in Cantonese and Mandarin preferred.