Responsible Officer

2 days ago

Kowloon, Hong Kong SAR China Classy Wheeler Limited Full time

Responsible Officer / Compliance Manager (Type 9, Virtual Assets) (Securities) Company Description: A leading financial institution specializing in asset management, securities services, and technology-driven investment solutions for global clients. Nature: Permanent Job Title: Responsible Officer / Compliance Manager (Type 9, Virtual Assets, Equities & Funds) (Securities) Candidates with less experience will be considered for Compliance Manager (Equities, Funds, SFC 1/4/5/9). Responsibilities Oversee and manage SFC-regulated Type 9 (Asset Management) activities with a focus on Virtual Assets, equities, and funds. Ensure compliance with SFC ordinances, regulations, codes, and guidelines, including AML/CTF requirements. Develop, implement, and maintain compliance policies, internal controls, and risk management frameworks across all regulated activities. Supervise daily operations and trading activities to ensure adherence to company policies and regulatory standards. Conduct internal audits and risk assessments, preparing detailed compliance reports and recommendations for senior management and the CEO. Provide expert regulatory advice on strategic planning, product development, and operational efficiency in both traditional and virtual asset markets. Act as the primary liaison with the SFC and other regulators, handling inquiries, licensing matters, and reporting obligations. Coordinate with external auditors and regulatory bodies during examinations and inquiries. Monitor the company’s application for a Virtual Assets uplift to ensure all requirements are met. Requirements Current approval as a Responsible Officer (RO) for Type 9 regulated activity with the SFC is mandatory for the RO role. Proven compliance or asset management experience within the securities industry, with exposure to equities, funds, and Virtual Assets. Strong knowledge of SFC regulatory frameworks, particularly license types 1, 4, 5, and 9, and VA fund management requirements. Demonstrated leadership skills with a track record in developing compliance and risk management strategies. Excellent analytical, problem‑solving, and communication skills; fluency in English required, Cantonese or Mandarin preferred. Solid academic background in Finance, Accounting, Law, Business Administration, or related disciplines. Ability to work independently and manage the compliance function as a single contributor when #J-18808-Ljbffr

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