responsible officer

Job Responsibilities

• Responsible for supervising and ensuring that the company's securities trading (SFC Category 1) and futures contract trading (SFC Category 2) business fully complies with the regulations and ethical standards of the Securities and Futures Commission (SFC) of Hong Kong

• Coordinate internal compliance structure, regularly review, revise and update compliance policies, operating procedures and risk control measures, and submit insightful compliance reports to senior management, including major compliance risk assessments and improvement recommendations

• Lead all employees’ compliance training and continuous education plan, with a focus on anti-money laundering (AML), combating the financing of terrorism (CFT), insider trading prevention, customer due diligence (CDD), identification and reporting of suspicious transactions, and the SFC’s latest regulatory dynamics and practical guidance

• As the main liaison window between the company and the SFC and other regulatory agencies (such as the HKMA, the Stock Exchange, etc.), handle regulatory inspections, on-site inspections, inquiries and hearing preparation properly, ensure all responses are accurate, timely, traceable and in line with regulatory expectations

• Participate in the compliance evaluation of new product development, new service launch and business process changes, provide proactive legal and regulatory advice, and assist business departments in driving innovation and expansion within risk control and compliance

• Monitor the internal transaction monitoring system's operating efficiency, review the processing and investigation records of abnormal transaction alarms, and ensure that the compliance follow-up mechanism is effectively implemented

• Collaborate with internal audit, risk management and operations departments to promote cross-functional compliance culture building, strengthen the first line of defense awareness and execution ability

Work requirements

• Holders of a bachelor’s degree from the University of Hong Kong or an equivalent recognized institution; those with SFC-recognized qualifications in compliance, finance, law, accounting or related fields (such as CISI, ACAMS, HKSI LE Paper 12/14/15/16/19, CFA, CPA, etc.) are given priority

• In-depth understanding of the core regulations and guidelines such as the Securities and Futures Ordinance (Chapter 571), the Anti-Money Laundering and Terrorist Financing (Amendment) Ordinance (Chapter 615), and the SFC's Code of Conduct for Licensees or Registered Persons, Internal Control Guidance, and Guidance on Anti-Money Laundering and Terrorist Financing

• Have three years of experience in financial institution compliance, regulatory affairs or internal audit, with a securities and/or futures licensed institution actual compliance officer (RO) resume being particularly desirable

• Able to fluently use Cantonese, Mandarin and English for written communication (including regulatory responses, policy documents, training materials) and oral communication, with the ability to independently handle complex regulatory issues and cross-departmental collaboration

• Must meet Hong Kong's legal work qualifications, including but not limited to: Hong Kong permanent resident status, Talent Immigration Scheme, Quality Immigration Scheme, IANG, Dependent visa, or other effective work permit accepted by the SFC

Benefits

• Generous salary, with a monthly range of HKD 25,000 to 38,000, with flexible negotiation space

• Disburse flexible bonuses and annual bonuses based on performance, and establish a clear performance-based compensation mechanism

• Provide a comprehensive medical insurance plan that covers basic medical needs such as outpatient care, hospitalization, and dental care

• Support hybrid work modes, allowing remote work, and enhancing work autonomy and work-life balance