Responsible Officer (SFC Type 4 / Type 9)

About the role

As a Responsible Officer approved by the Securities and Futures Commission (SFC), you will carry primary responsibility for supervising the daily operations, portfolio compliance, and strategic development of our licensed business activities. You will play a pivotal and executive role in ensuring absolute regulatory adherence while helping shape our portfolio frameworks, investment mandates, and operational risk standards.

Key responsibilities

• Engage in month-end consolidation, reconciliations and the closing process as well as prepare and review monthly regulatory reports (FRR)
• Oversee investment processes, fund operations, and asset allocation strategies, ensuring alignment with client mandates and statutory risk boundaries
• Give sound advice on financial structuring for business deals
• Drive process improvements to enhance internal controls, continuous business management and cooperate closely with the front office
• Handle all related activities of fund operation and maintenance
• Serve as a primary point of contact for the SFC, external auditors, and legal counsels regarding licensing updates, routine inspections, and mandatory reporting
• Implement, monitor, and refine the firm's internal controls, risk management systems, and standard operating procedures to ensure full compliance with the SFC Code of Conduct and the Securities and Futures Ordinance (SFO)
• Enforce stringent Anti-Money Laundering (AML) and Counter Terrorist Financing (CFT) guidelines across all client onboarding and investment transactions

Requirements & Qualificaions

• Currently registered or fully eligible for immediate registration as an unconditional SFC Responsible Officer for Type 9 and Type 4 regulated activities
• Bachelor's degree or higher in Finance, Economics, Business Administration, Law, or a related field
• Minimum of 5 years of solid experience within asset management, discretionary account management, or fund operations
• Sound knowledge of operational mechanisms and risk-return characteristics of various securities products, including stocks, bonds, funds, and derivatives (such as TRS, options and futures)
• Familiar with the trading rules, regulatory policies, and industry trends of major domestic and international securities markets (such as A-shares, Hong Kong stocks, and US stocks)
• At least 2 years of proven management or supervisory experience leading investment or compliance professionals
• Excellent command of written and spoken English and Chinese (Cantonese and Mandarin)