Job Description：

•  Act as a Responsible Officer with the SFC for Type 1, Type 4 (Securities) 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.
• Manage daily operations to ensure full regulatory compliance.
• Function as a principal liaison with the SFC and facilitate the management of regulatory correspondence.
• Keep abreast of regulatory developments and advise the company on compliance matters.
• Engage in the formulation of new products and business initiatives to guarantee compliance with all regulatory standards and alignment with corporate objectives/targets.
   

Requirements:

• Current status of SFC Type 1,4,9 RO or possess the eligibility to act as an RO immediately.
• A minimum of 5 years of pertinent experience within the financial services sector, accompanied
  by a comprehensive understanding of SFC regulations and guidelines.
• A minimum of 2 years in a managerial capacity within a substantial financial institution.
•  Proficiency in FRR is strongly preferred.
• A degree in Finance, Law, Business Administration, or related fields; advanced qualifications such as JD, MBA, or equivalent are preferred.
• Substantial experience in State-Owned Enterprises is highly desirable.
• Fluency in English and Cantonese or Mandarin is essential. 
   

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