Position Responsibilities

· Oversee Type 9 regulated activities (asset management) to ensure compliance with Hong Kong Securities and Futures Commission (SFC) regulations

· Manage daily operations, including trading, settlement, risk management, and client services, ensuring adherence to regulatory standards

· Perform regular AML and KYC checking of current and potential clients

· Maintain effective communication and relationships with regulators, key partners, banks, brokerages, and other external institutions for relevant matters

· Maintain CPT records and personal trading records for all licensed personnel

· Update and refine the company's operational manuals to enhance compliance procedures and internal controls

Position Requirements

· Bachelor’s degree or above in Finance, Economics, or other business-related disciplines

· Currently holder of SFC Responsible Officer License for Type 9 Regulated Activities

· Minimum 3 years of proven experience as a RO (Type 9) in the securities and asset management industry

· In-depth knowledge of Securities and Futures Ordinance (SFO) and other relevant codes of conduct

· Excellent communication and stakeholder management skills, with the ability to effectively liaise with regulators, auditors, and internal teams

· Proficient in spoken and written English, Cantonese, and Mandarin