Responsible Officers

3 days ago

Hong Kong Island, Hong Kong SAR China JASPER CAPITAL HONG KONG LIMITED Full time

Responsibilities Lead the application for the company's HK compliance license. Collaborate with internal and external teams to interpret regulatory policies and formulate multi-stage license application and upgrade strategies. Design and implement a compliance framework that meets SFC requirements, regularly review the compliance of the company's business, and ensure compliance with license conditions. Act as the main contact person to handle inquiries, inspections, and regular reports from the SFC and other regulatory authorities; Prepare and submit various reports required by regulators (such as financial declarations, business change notifications, etc.). Provide compliance training for business teams (trading, asset management, wallet services, etc.) to ensure employees understand and comply with regulatory requirements; Monitor compliance risks in business operations and promptly put forward improvement suggestions. Research Hong Kong's financial license system and assess the compliance feasibility of business expansion; Assist management in planning long-term license layout to support the company in becoming a comprehensive financial service provider. Qualifications Bachelor's degree or above in law, finance, accounting, or related majors; those holding compliance-related qualifications recognized by the Hong Kong Securities and Futures Commission (such as ACG, CAMS, etc.) are preferred. More than 5 years of compliance experience in Hong Kong's financial industry, with at least 3 years of directly relevant securities industry experience, and having actual cases of successfully applying for or upgrading SFC licenses (especially Type 149 license). Those familiar with regulatory requirements related to virtual assets (VA) (such as new regulations after the JPEX incident) are preferred. Those who have participated in full license applications or cross-border compliance work are preferred. Knowledge and Skills Proficient in Hong Kong's Securities and Futures Ordinance, SFC Code of Conduct, and AMLO anti-money laundering regulations. Excellent project management and cross-departmental coordination skills, able to efficiently interface with business, technology, and legal teams. Fluent in both Chinese and English, with excellent written and communication skills. Competence Literacy High sense of responsibility, risk sensitivity, and pressure resistance, able to adapt to the rapid changes in the regulatory environment. Strategic thinking, able to balance business innovation and compliance risks. Seniority level: Mid-Senior level Employment type: Full-time #J-18808-Ljbffr

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    Hong Kong Island, Hong Kong SAR China Harris Fraser Corporate Services Limited Full time

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    Hong Kong Island, Hong Kong SAR China Delken Group Limited Full time

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    Hong Kong Island, Hong Kong SAR China Hex Trust Full time

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    Hong Kong Island, Hong Kong SAR China Kubelt Full time

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    7 days ago

    Hong Kong Island, Hong Kong SAR China Automate Wealth Management Limited Full time

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    5 days ago

    Hong Kong Island, Hong Kong SAR China HK Montage Full time

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  • SFC Responsible Officers

    7 days ago

    Hong Kong Island, Hong Kong SAR China TeamPlus Consulting Limited Full time

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    7 days ago

    Hong Kong Island, Hong Kong SAR China CO FINANCIAL SERVICES LIMITED Full time

    Add expected salary to your profile for insights Recruiting Entity: RA149 Licensed Corporation Company Background The Company is newly established with an ambitious business plan that involves securing SFC licenses for Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) regulated activities, with relevant virtual...

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    5 days ago

    Hong Kong, Hong Kong SAR China Shining Capital Management Hong Kong Lmited Full time

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  • Responsible Officer Type 9

    7 days ago

    Hong Kong Island, Hong Kong SAR China Sunfund (Hong Kong) Company Limited Full time

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