Responsible Officer (Type 4,9 Full Time)

• Act as a Responsible Officer with the SFC for Type 4 and Type 9 (Asset Management) regulated activities.

• Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and guidelines.

• Provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures.

• Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks.

• Serve as the primary/secondary contact with the SFC and handle all regulatory filings, reporting, and communications.

• Keep abreast of regulatory developments and advise the company on compliance matters.

Job Requirements:

• Current SFC Type  4 and 9 both unconditional RO status or eligibility to act as an RO for Type 4 and 9 regulated activities.

• At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.

• Strong leadership and communication skills, with the ability to work effectively with all levels of the organization.

• Detail-oriented and highly analytical, with a proactive approach to problem-solving.

• A degree in Finance, Law, Business Administration, or related fields

• Fluency in English and Cantonese or Mandarin is essential.