Job Description:
- 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.