Responsible Officer

1 day ago

Hong Kong Island, Hong Kong SAR China Classy Wheeler Limited Full time

Responsible Officer (Type 9, Virtual Assets) Company Description: A leading and internationally-established financial services firm specializing in asset management and technology-driven investment solutions for a global clientele. Nature: Permanent Job Title: Responsible Officer (Type 9, Virtual Assets) Responsibilities Oversee and manage all Securities and Futures Commission (SFC)-regulated activities under Type 9 (Asset Management) license, with a specific focus on Virtual Assets (VA) fund management. Ensure continuous compliance with all relevant SFC ordinances, regulations, codes, and guidelines, particularly those related to Virtual Assets and Anti-Money Laundering/Counter-Terrorist Financing (AML/CTF). Develop, implement, and maintain robust internal control systems, operational policies, and risk management frameworks for all regulated activities, including VA trading and investment. Directly supervise the day-to-day operations and trading activities to ensure adherence to established company policies and regulatory requirements. Provide expert regulatory advice and guidance to senior management on strategic business planning, product development, and operational efficiency within the virtual asset space. Act as a primary liaison with the SFC and other external regulatory bodies, handling inquiries, licensing matters, and reporting requirements. Requirements Current approval as a Responsible Officer (RO) for Type 9 regulated activity with the Securities and Futures Commission (SFC) is mandatory. Proven and substantial experience working in a regulated financial institution, specifically managing funds or discretionary accounts that invest in Virtual Assets (VA). Possess an in-depth, up-to-date knowledge of the SFC's regulatory requirements for Type 9 activities, including the specific terms and conditions for Virtual Asset fund managers. Demonstrated leadership capability with a strong track record of developing and implementing effective compliance and risk management strategies. Excellent communication, analytical, and interpersonal skills, with fluency in English required; proficiency in Cantonese or Mandarin is a plus. Strong academic background in Finance, Law, Business Administration, or a related field. Seniority level Associate Employment type Full-time Job function Consulting, Analyst, and Accounting/Auditing Industries Financial Services, Investment Management, and Investment Advice Location Central & Western District, Hong Kong SAR #J-18808-Ljbffr

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