Responsible Officer (SFC Type 9)

We are seeking an experienced Responsible Officer to oversee Type 9 (Asset Management) regulated activities under the Securities and Futures Commission. The successful candidate will ensure full compliance with SFC regulations, lead the development of robust compliance frameworks, and act as the primary liaison with regulators. This role requires strong leadership, deep regulatory knowledge, and the ability to proactively manage risks in a dynamic financial environment.

BC Group - Hong Kong - Full time

Salary: HK$40k - HK$60k

Key Responsibilities:

  • Act as the Responsible Officer for SFC Type 9 regulated activities, ensuring adherence to all legal and regulatory requirements.
  • Develop, implement, and monitor compliance policies, procedures, and controls in line with SFC regulations, including the Code of Conduct and guidelines.
  • Conduct regular compliance reviews, risk assessments, and surveillance of trading activities to identify and mitigate potential risks.
  • Serve as the primary/secondary contact with the SFC, handling regulatory filings, reporting, and communications.
  • Provide strategic compliance guidance to senior management and business teams, ensuring alignment with regulatory expectations.
  • Stay updated on regulatory developments and advise the company on necessary actions to maintain compliance.

Job Requirements:

  • Current SFC RO status (or eligibility) for Type 9 regulated activities (unconditional).
  • Minimum 5 years of relevant experience in the financial services industry, with strong knowledge of SFC regulations.
  • Proven leadership in compliance oversight, risk management, and regulatory interactions.
  • Strong analytical skills with a detail-oriented and proactive approach to problem-solving.
  • Excellent communication and interpersonal skills, with the ability to collaborate across all levels of the organization.
  • Bachelors degree in Finance, Law, Business Administration, or a related field.
  • Fluent in English and Cantonese or Mandarin (written and spoken).
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