Strategic Operations and Compliance Lead

2 weeks ago


Hong Kong, Central and Western District, Hong Kong SAR China Omni Group Asia Ltd. Full time
About the Role

Omni Group Asia Ltd. is seeking an experienced Strategic Operations and Compliance Lead to join our team. In this role, you will be responsible for ensuring the company's business operations comply with all applicable laws, rules, and regulations.

About You
  • You have a Bachelor/Master's degree in economics, finance, accounting or equivalent
  • You are eligible to apply for Type 4 (Advising on Securities) & 9 (Asset Management) Responsible Officer designation with the Hong Kong SFC
  • You have minimum 5 years of experience in the financial sector, preferably with prior exposure to the EAM or private banking sector
  • You have excellent command in both written and spoken Chinese (Cantonese/Mandarin) and English
ResponsibilitiesKey Responsibilities

In this role, you will be responsible for:

  1. Acting as a Responsible Officer (RO) for Type 4 (Advising on Securities) & 9 (Asset Management) regulated activities
  2. Overseeing and managing the daily operations related to regulated activities
  3. Identifying, assessing, and mitigating risks associated with Type 4 and Type 9 activities
  4. Developing and implementing risk management policies and procedures
  5. Ensuring that client communications and documentation are compliant with regulatory standards
  6. Establishing and maintaining internal policies and procedures to ensure operational effectiveness and regulatory compliance
Benefits

We offer a competitive salary range HKD $100,000 - HKD $150,000 per annum, depending on experience. Other benefits include opportunities for professional growth and development, a dynamic and supportive work environment, and a chance to work with a leading organization in the industry.



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