responsible officer

SFC TYPE 4,9

Job Responsibilities

• Responsible for supervising and ensuring that the company fully complies with the Hong Kong Securities and Futures Commission (SFC) Securities and Futures Ordinance and related rules in the areas of securities trading (SFC Class 4 license) and asset management (SFC Class 9 license).

• Coordinate the development, updating and implementation of internal compliance policies and procedures, including customer due diligence (CDD), anti-money laundering (AML) / counter-terrorism financing (CFT) measures, conflict of interest management, internal control system review, etc. critical stages.

• As the company's designated "responsible officer" (Responsible Officer) to the Securities Regulatory Commission, represent the company to communicate and coordinate with the regulatory authority on major compliance issues, and submit application documents and respond to inquiries in a timely manner.

• Regularly lead internal compliance training and risk awareness campaigns to enhance front, middle and back office employees’ understanding and implementation of regulatory responsibilities, and support business departments in completing compliance assessments before launching new products and services.

• Collaborate with internal audit, legal and risk management teams, participate in compliance risk assessment, monitoring indicator setting and defect follow-up, and continuously improve the compliance governance structure and operating efficiency.

Work requirements

• Holding a bachelor's degree from the University of Hong Kong or a recognized institution; having passed Papers 1, 7, 8, 12 and 16 of the Securities and Futures Industry Association (HKSI LE) qualification examination and having been approved by the Securities and Futures Commission as responsible personnel for Class 4 and Class 9 licenses.

• Fluent in Cantonese, Mandarin and English for written composition and oral communication, able to independently compile Chinese and English compliance reports, policy documents and regulatory responses.

• Have high integrity, independent judgment, and sense of responsibility, and be able to actively promote compliance culture in a cross-functional collaboration environment and adapt to hybrid work modes (including offices, homes, and necessary field work).

• Comply with Hong Kong's legal work qualifications, including but not limited to: Hong Kong permanent resident identity, high-end talent pass (High Talent Pass), outstanding talent entry plan (Outstanding Talent Pass), non-local graduate retention / return to Hong Kong employment arrangement (IANG), dependent visa or other valid work permit.

Benefits

• Generous salary, ranging from HKD 25,000 to 38,000 per month, with further negotiation based on qualifications and performance.

• Flexible bonus system, linked to individual performance, team results, and overall company operations.

• Competitive salary and year-end bonuses.

• Support hybrid work modes, including home work arrangements, to enhance work flexibility and balance.

• Comprehensive medical insurance plan, covering outpatient, inpatient and dental care, among other benefits.