Responsible Officer Type 4/9 (FT & PT)

Job Duties

• Full supervisory responsibility for Type 4 and Type 9 regulated businesses, ensuring compliance with SFO, SFC Code of Conduct, FRR, and AML/CFT requirements

• Lead the development, revision, and implementation of comprehensive compliance manuals, customer KYC/due diligence, transaction monitoring, customer complaint, and file archival procedures

• Supervise core fund operations such as valuation, investor subscriptions, and redemptions, ensuring accuracy and compliance

• Review customer account opening documents, investment agreements, roadshow materials, and investment portfolio trading strategies

• Conduct regular internal compliance self-inspections and produce annual compliance reports

• Monitor liquid asset calculations and coordinate with external auditors to address regulatory remediation requirements

• Supervise the execution of transactions and fund transfers for discretionary accounts, ensuring that all investment operations comply with client authorizations and regulatory requirements.

Key Requirements

• Possess at least 3 years of relevant industry experience in Hong Kong's financial sector within the past 6 years, including a minimum of 2 years of management experience.
• Welcoming applications from sufficient experience Type 4 and Type 9 Representatives or Type 1 Representatives with 2 or more years of experience in discretionary accounts.
• No regulatory or disciplinary records, and must meet the SFC "Fit and Proper" criteria.
• Strong knowledge of the Securities and Futures Ordinance (SFO) and SFC codes of conduct; familiar with AML and KYC processes.
• Excellent risk judgment, communication, and coordination skills; responsible, detail-oriented, and capable of team leadership.
• Proficient in bilingual communication (Chinese & English) and trilingual fluency (Putonghua, English, and Cantonese).

職責:

• 對第4類（就證券提供意見）及第9類（提供資產管理）受規管業務之監管責任，確保持續符合《證券及期貨條例》（SFO）、證監會《操守準則》、財政資源規則（FRR）及反洗錢／反恐怖融資（AML/CFT）等監管要求。

• 主導制定、修訂及實施全面的合規手冊，涵蓋客戶KYC／盡職審查、交易監控、客戶投訴處理及檔案保存等程序。

• 監督基金的核心營運工作，包括資產估值、投資者申購及贖回，確保其準確性及合規性。

• 審閱客戶開戶文件、投資協議、路演材料及投資組合的交易策略。

• 定期進行內部合規自查，並編製年度合規報告。

• 監察流動資產的計算，並與外聘核數師協調，以跟進監管補救措施及合規整改要求。

• 監督全權委托賬戶的交易執行與資金劃轉，確保所有投資操作符合客戶授權及合規要求。

主要任職要求

• 具備在過去六年內至少有三年香港金融行業的相關行業經驗，其中包含至少2年的管理經驗。

• 歡迎具備豐富經驗的第4類（就證券提供意見）及第9類（提供資產管理）持牌代表，或具備2年或以上全權委託帳戶（Discretionary Accounts）經驗的第1類（證券交易）持牌代表申請。

• 無不良監管或紀律處分記錄，且須符合證監會“適當人選”（Fit and Proper）准則。

• 精通《證券及期貨條例》（SFO）及香港證監會相關守則；熟悉反洗錢（AML）及了解客戶（KYC）流程。

• 具備出色的風險判斷、溝通及協調能力；工作負責、注重細節，並具備團隊領導能力。

• 精通雙語溝通（中英文），且具備三語流利溝通能力（普通話、英語及粵語）。