Responsible Officer (Part time/Full time)

Responsibilities

1.      Serve as the legal responsible person for the Company's compliance with the SFO, the SFC Code of Conduct, and all other applicable regulatory standards in respect of Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities.

 2.      Comprehensively supervise the regulated activities of investment consulting and asset management businesses, ensuring full compliance with SFC and related regulatory requirements.

3.      Review and approve major business initiatives, financial products, and services of the company, completing compliance verification before implementation; conduct regular internal compliance reviews and audits to identify business compliance risks.

4.      Coordinate the management of business conflicts of interest, establish and improve the information disclosure mechanism, standardise business processes, and prevent compliance risks.

5.      Develop, review, and update the company's compliance policies, compliance manuals, and SOP standard procedures, and establish a complete internal compliance control system.

6.      Collect and retain all business compliance and regulatory filing materials, improve compliance files, and meet regulatory verification requirements.

7.      Collaborate with management and various business departments to provide professional compliance consultation and risk guidance, proactively prevent business risks, and ensure compliant operations.

9.      Liaise with the SFC on licensing, compliance, and regulatory matters, and ensure all information submitted to the SFC is accurate and not misleading.

10.   Assist in developing, implementing, and reviewing internal control policies, risk management frameworks, and staff supervision procedures.

Requirements

1.      Bachelor's degree or above in Finance, Economics, Accounting, Law, Business Administration, Risk Control, etc.

2.      5-10 years of experience in compliance, risk control, and regulatory affairs within the financial industry, preferably in a listed company.

3.      Hold a valid and unconditional license as a responsible officer from the Hong Kong Securities and Futures Commission (Type 4 & 9), with at least 2 years of valid license tenure.

4.      Proficient in Hong Kong SFC regulations, familiar with the operation models of Type 4 & 9 licenses.

5.      Strong sense of responsibility, good professional ethics, capable of independently resolving complex compliance and regulatory issues.

6.      Excellent communication skills, able to accurately interpret complex regulatory rules to all levels.

7. Proficient in reading, writing, and speaking both Chinese and English.

8.      Immediate availability preferred.