Act as the Responsible Officer (RO) for the 4th category (securities investment consulting) and the 9th category (asset management) of the Securities and Futures Commission (SFC), and fully assume the relevant statutory responsibilities and supervisory functions.
Cooperate with compliance consultants, SFC license application process, ensure smooth approval and maintain effective license status.
Based on the company's investment strategy and business model, develop, update and implement compliance policies, operating procedures and internal control mechanisms, covering key stages such as investment decision-making, trade execution, information disclosure, and management of conflicts of interest.
Coordinate the establishment and structure design of offshore funds, coordinate lawyers, accountants and custodians, and ensure compliance with the legal and regulatory requirements of the target jurisdiction (such as Cayman, BVI, Hong Kong, etc.).
Supervise the daily operation and administrative management of the established fund, including valuation, application and redemption processing, cost accounting, report preparation, and investment portfolio monitoring.
Continuously monitor business activities for compliance with the Securities and Futures Ordinance, the SFC's Code of Conduct, the Unit Trust and Mutual Fund Code, and other applicable guidelines, proactively identify compliance risks and push for improvement.
As the main liaison window between the company and SFC and other regulatory agencies (such as the Financial Affairs and Treasury Bureau, Customs, Joint Wealth Intelligence Group, etc.), handle inquiries, inspections, applications and inquiries properly.
After license approval, continue to supervise the daily operation of the regulated activity to ensure that personnel, systems, and processes all meet the RO's responsibilities.
Establish and improve risk management, anti-money laundering (AML) and customer due diligence (KYC) frameworks, conduct regular risk assessments, employee training and internal testing, to meet the latest requirements of FATF and SFC.
Regularly report to senior management on major compliance issues, regulatory dynamics, risk status, and improvement suggestions, supporting strategic decision-making and governance enhancement.
Must hold valid SFC Class 4 and Class 9 licenses, and have unconditional "compliance officer" qualifications, to legally serve as the RO for these two activities.
Have at least 5 years of relevant experience in the financial services industry, familiar with the SFC regulatory framework, licensing system, ongoing compliance obligations and common enforcement cases; those with a background in asset management companies, licensed corporations or fund platforms are preferred.
Have excellent leadership and cross-departmental collaboration skills, effectively guide compliance, investment, operation and administrative teams, and maintain efficient communication with the board of directors and senior management.
Thoughtful and analytical, able to quickly clarify the gap between complex regulatory requirements and business practices, and propose practical and feasible solutions.
Educational qualifications are not limited, a bachelor's degree in finance, law, business administration or a related field is preferred; those who continue their studies and hold CISI, ACAMS, CFA or SFC recognized compliance course certificates will be given priority.
Proficient in English, and must be fluent in Cantonese or Mandarin (with bilingual writing and speaking abilities is even better).
Must have Hong Kong permanent residency, or hold a "High-end Talent Pass Program" (High Talent Pass), "Outstanding Talent Entry Program" (Outstanding Talent Pass), "Non-local Graduates Stay/Return to Hong Kong Employment Arrangement" (IANG), "Dependent visa" or other legal work permit in Hong Kong.
Working hours are from 9 am to 6 pm daily, with flexible hours on working days, and the office is located at 80 Gloucester Road, Wan Chai.
