Job Description:

1. Act as a Responsible Officer approved by the SFC for Type 1, and Type 4 regulated activities.

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

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

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

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

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

Job Requirements:

1. Must be a current holder of SFC Type 1, and 4 licenses with both unconditional RO status and eligibility to act as a Responsible Officer (RO) for Type 1, and 4 regulated activities.

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

3. Possess strong leadership and communication skills, with the ability to work effectively with all levels of the organization.

4. Be detail-oriented and highly analytical, with a proactive approach to problem-solving.

5. Hold a bachelor’s degree in Finance, Law, Business Administration, or a related field.

6. Fluency in English and (Cantonese or Mandarin) is required.