Responsible Officer - Category 1/4/9

Job Responsibilities:

1. Serve as the Responsible Officer (RO) for Hong Kong Securities and Futures Commission (SFC) regulated activities of Type 1, Type 4, and Type 9, fully overseeing the core work of compliance management, operational supervision, and risk control for relevant businesses;

2. Supervise all business activities of the company to ensure compliance with relevant Hong Kong laws and regulations, SFC Code of Conduct, and internal policy requirements;

3. Take the lead in formulating, implementing, and continuously optimizing the company's compliance policies and internal control processes; conduct regular compliance reviews and comprehensive risk assessments to accurately identify, evaluate, and address potential compliance risks;

4. Act as the core liaison between the company and regulatory authorities such as the Hong Kong SFC, responsible for the full-cycle follow-up and closure of regulatory report submission, daily communication, response to regulatory inquiries, and rectification matters;

5. Responsible for compliance assessment and implementation support for new products and businesses such as asset management plans and fund products, ensuring the entire process of product design, issuance, and operation complies with regulatory requirements;

6. Continuously track domestic and foreign financial regulatory policy dynamics, provide professional compliance decision-making suggestions to the company's management; organize employee compliance training, build a team risk prevention system, and enhance the overall compliance awareness and job competence of all staff.

Job Requirements:

1. Hold SFC-recognized Type 1, Type 4, and Type 9 licenses, with formal RO qualification and practical on-the-job experience;

2. Possess at least 3 years of experience as an RO in a Hong Kong licensed financial institution or equivalent compliance/operation management position, with in-depth familiarity with the entire asset management business process, SFC regulatory key points, and compliance control logic;

3. Hold a Hong Kong Identity Card or valid work visa, with legal right to work in Hong Kong;

4. Familiar with the establishment and operation of offshore funds and OFC; candidates with relevant resources are preferred.