RO

Job Description:

Core Responsibilities:

1. Compliance and regulatory responsibilities:

• Act as required by the Hong Kong Securities and Futures CommissionResponsible supervisor, responsible for [Class 1 (Securities Trading) / Class 4 (Giving advice on securities) / Class 9 (Asset Management)] regulated activities (fill in according to the type of company license).
• As the main liaison between the company and the Hong Kong Securities Regulatory Commission, the Stock Exchange and other regulatory bodies, responsible for all communications, reporting and inquiries.
• Continuous monitoring, interpretation and ensuring that all business and operational activities of the company comply with the Securities and Futures Ordinance, the Securities and Futures Commission's Code of Conduct and relevant regulatory announcements.
• Establish, review and update the company's compliance manual, policies and procedures, and monitor their effective execution.
• Lead daily compliance monitoring, including but not limited to: employee trading monitoring, information wall management, anti-money laundering and anti-terrorist financing monitoring, conflict of interest management, etc.

2. Operations and risk management responsibilities:

• Supervise the company's daily operations, including trading, settlement, fund management and customer asset management, to ensure their efficiency, accuracy and compliance with internal policies.
• Establish and maintain a comprehensive risk management framework, identify, assess, monitor and report various risks (such as market risk, credit risk, operational risk and liquidity risk) faced by the company.
• Approve the acceptance of new products, new business lines and important customers, and conduct ongoing risk assessments.
• Handling customer complaints and potential violations, conducting investigations and taking corrective actions, and reporting to management and regulatory bodies if necessary.

3. Team management and cultural construction:

• Responsible for managing and supervising representatives of the company engaged in regulated activitiesLicensed representativeTeam, ensure it has appropriate qualifications and continues to meet the requirements for competence.
• Organize and provide continuous compliance and ethical training, and cultivate a deep compliance culture within the company.
• Regularly report to senior management on compliance status, risk exposure, and important regulatory dynamics.

Requirements:

• Essential conditions:
  • Holding a license issued by the Hong Kong Securities and Futures CommissionResponsible supervisorLicense, for [the 1st/4th/9th class] regulated activities with at least3-5 yearsDirect responsibility experience.
  • Proficient in the Hong Kong Securities and Futures Ordinance, Securities and Futures Commission code of conduct and guidance and related market supervision and regulation rules.
  • Have excellent Chinese and English communication skills, and be able to serve as an effective bridge between the company and the regulatory authority.
  • Having excellent leadership, risk management, and decision-making abilities, you can handle complex problems under pressure.
• Prioritization:
  • Having inBroker/quantitative fund/cryptocurrency-related financial companiesWork experience.
  • ForFinTech, algorithmic trading or digital assetsHave a deep understanding of the regulatory environment in the field.
  • Have good Mandarin communication skills.

We provide you with:

• Competitive salary package (base salary + generous bonuses).
• The opportunity to serve as a core leader within the company, with direct impact on the company's compliance and development.
• A professional, open and challenging work environment.