Responsible Officer (SFC Type 2, 4 & 9)

Job Summary:

Key Responsibilities:

• Regulatory Leadership: Act as a Responsible Officer (RO) with the SFC for Type 2, 4, and 9 regulated activities.

• Corporate Governance: Serve as the OMO Manager-in-Charge (MIC) and a Director of the Company.

• Compliance Oversight: Oversee and ensure strict compliance with all applicable SFC codes, guidelines, laws, and regulations.

• Framework Development: Lead the development, implementation, and continuous monitoring of effective internal control policies and compliance procedures.

• Risk & Trading Monitoring: Monitor trading activities (Type 2), advisory services (Type 4), and portfolio management (Type 9) to conduct regular reviews and mitigate potential risks.

• SFC Liaison: Act as the primary contact with the SFC, handling all regulatory licensing, filings, reporting, and inquiries.

• Regulatory Advisory: Keep abreast of the latest regulatory developments and advise the management on compliance matters.

• Culture & Training: Conduct training sessions to promote a high standard of compliance awareness within the organization.

Requirements:

• SFC License: Current SFC Type 2, 4, or 9 unconditional RO status (holding all three or eligible to add the missing ones immediately).

• Experience: Minimum 5 years of relevant experience in the financial services industry (Futures, Wealth/Asset Management), with deep knowledge of SFC regulations.

• Competency: Proven track record in compliance, risk management, or operations for licensed corporations.

• Leadership: Strong leadership, decision-making, and communication skills to work effectively with all levels.

• Education: Bachelor’s degree in Finance, Law, Business Administration, or related fields.

• Languages: Fluency in English and Cantonese or Mandarin is essential.

What We Offer:

• Five-day work week

• Comprehensive Medical Insurance

• Premium ICC office with a full sea view

• Unlimited snacks and drinks

• Exquisite welcome gift upon joining

• Direct involvement in diverse projects across business domains

• Collaborative, inclusive, and entrepreneurial work environment