Responsible Officer (SFC Type 1,4, 9) /RO 149

About the role

Responsible Officer (SFC Type 1, 4, 9) & Head of Operations responsible for developing and implementing policies, procedures and internal controls aligned with regulatory requirements, designing compliance frameworks including AML/CFT and risk management, and overseeing fund operations and investment projects.

Key responsibilities

• Develop and implement all necessary policies, procedures and internal controls required with regulatory requirements
• Design and establish the compliance framework, including AML/CFT, risk management, and operational procedures
• Oversee, manage, and ensure the activities are in comply to all applicable laws, rules and regulations at all times, including the proper documentation of all operations, policies and procedures
• Experience in fund management and discretionary account management
• Supervise the operation of existing funds and the establishment of new investment projects
• Handle any other ad-hoc duties as required by the Board

About you

• Currently accredited by SFC as Responsible Officer for Type 1, 4 and 9 licenses
• At least 3 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines
• Detail-oriented and highly analytical, with a proactive approach to problem-solving
• Solid understanding about middle and back office operations, risk controls and investment process of fund management companies a plus
• Proficient PC skills in Microsoft Word, Excel and Chinese word processing
• Experienced in Python for data scraping and analytics is an advantage