Responsible Officer (Type 1,2,4,9) - Fintech

Product Strategy Development Move business objectives into actionable product roadmaps in areas such as: Equities, Futures, and Options Trading: (HK, US, A-shares, global futures, and options). Funds Distribution: (mutual funds, money market, MMF sweep). Wealth Management: (advisory, discretionary portfolio management (DPM), cash management). Collaborate with UI/UX, Product Managers, and Engineering teams to integrate compliance into product design from the outset. Drive pre-launch readiness, in

Morgan McKinley - Hong Kong - Full time

Salary: HK$61k -70k pm

Product Strategy Development
  • Move business objectives into actionable product roadmaps in areas such as:
    • Equities, Futures, and Options Trading: (HK, US, A-shares, global futures, and options).
    • Funds Distribution: (mutual funds, money market, MMF sweep).
    • Wealth Management: (advisory, discretionary portfolio management (DPM), cash management).
  • Collaborate with UI/UX, Product Managers, and Engineering teams to integrate compliance into product design from the outset.
  • Drive pre-launch readiness, including reviews of business models, risk disclosures, user journeys, and operational setups.
  • Lead internal product approval committees and contribute to go-to-market strategy discussions.
  • Coordinate delivery timelines and regulatory requirements with product and R&D teams, including counterparts in Mainland China.
Regulatory & Licensing
  • Represent the company in regulatory dialogues and oversee internal control processes.
  • Take overall responsibility for ensuring compliance in licensed activities, with a focus on product-related compliance.
  • Lead regulatory submissions to the SFC, including applications for new business lines, business plans, internal controls documentation, and change notifications.
Requirements:
  • Currently licensed as a Responsible Officer under SFC Type 1/2/4 or eligible for licensing. Preference will be given to candidates with a Type 9 license.
  • At least 8+ years in fintech brokerages, wealth platforms, or digital banks preferred.
  • With at least 3 years in product management, strategy, or regulatory advisory for financial products in Hong Kong.
  • Proven experience in leading SFC submissions and engaging with regulatory bodies.
  • Familiarity with the complete product lifecycle, from ideation and launch to post-go-live compliance monitoring.


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