Company Description

Roots Funding is a regulated private financial services company specializing in connecting private capital and accredited investors with institutional-grade private equity, private credit, scale-ups, and real asset opportunities across Canada and selected global markets. All offerings are exclusively available to qualified investors and structured based on applicable securities exemptions. Committed to transparency, efficiency, and liquidity, Roots Funding utilizes its innovative platform, PMX. The company also provides value-added services such as M&A introductions, marketing, and consulting to foster sustainable economic growth while supporting companies in scaling their revenue with its AI business center.

Role Description

This is a full-time and hybrid role located in Hong Kong for a Registered Officer and MIC at Roots Funding Asia Ltd. The Registered Officer will oversee compliance with financial regulations, advise on adherence to securities laws, manage risk protocols, maintain accurate documentation, and ensure transparent investor communication and other business activities. Additional responsibilities include supporting due diligence processes, liaising with regulatory authorities, and assisting in the structuring of financial products in collaboration with internal-external teams and external partners.

Qualifications

Strong knowledge of SFC financial regulations, securities laws, and compliance protocols
Candidate has passed type 1, 4 and 9, also has experience in risk assessment and mitigation, due diligence processes, and investor relations
Proficient in financial product structuring and market analysis
Excellent analytical, communication, and stakeholder management skills
Ability to work collaboratively within a team in an on-site setting
Bachelor's degree in Finance, Economics, Business Administration, or a related field is required; advanced certifications (e.g., CFA, CPA) are advantageous
Prior experience in private equity, investment management, or financial services is strongly preferred
Proficiency in data analysis tools or financial platforms is a plus

Roots Funding

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Registered Officer