- Hands-onexperience with SFC-authorized public funds (unit trusts, OFC, ETF)
- Strong working knowledge of the SFO, FMCC, UT Code, OFC Code, Code of Conduct
About Our Client A diversified financial institution managing SFC-authorized public funds, offering cross-border investment solutions across major global markets. Its portfolios span the United States, Europe, Australia, and Asia, combining regulatory discipline with active asset management expertise to deliver long-term value and robust governance for institutional and retail investors.
Job Description The Head of ETF / Director of ETF will serve as a senior leader overseeing the governance, compliance, and operational integrity of the firm's Exchange Traded Funds (ETFs) and other SFC-authorized public funds. This individual will act as a
Responsible Officer (RO) for Type 9 (Asset Management), providing regulatory oversight, ensuring adherence to the SFC regulatory regime, and supporting the strategic development of the ETF franchise. The role requires deep expertise in Hong Kong public fund regulations, strong ETF product knowledge, and hands-on experience navigating SFC requirements.
- Serve as Responsible Officer (Type 9)
Oversee day-to-day management and regulatory compliance of the firm's asset management business, fulfilling all RO responsibilities under the SFO. - ETF Governance & Product Oversight
Lead governance frameworks for ETF operations, including portfolio management processes, pricing mechanisms, index methodologies, and liquidity monitoring. - Regulatory Compliance for Public Funds
Ensure all ETFs, unit trusts, OFCs, and other SFC-authorized public funds fully comply with the UT Code, OFC Code, Code of Conduct, FMCC, and all relevant SFC circulars and guidelines. - Regulatory Filings, Notifications & Approvals
Manage all SFC and HKEX-related filings, including authorization applications, ongoing disclosures, listing submissions, NAV error notifications, and post-launch regulatory reporting. - ETF Transactions & Operational Risk Management
Oversee primary/secondary market transaction compliance, creation/redemption processes, market maker arrangements, and monitor risks associated with tracking error, trading spreads, liquidity, and operational controls. - Disclosures & Investor Communications
Review and approve offering documents, listing documents, KFS, announcements, marketing materials, periodic reports, and regulatory disclosures in accordance with SFC and HKEX requirements. - AML/CFT, CRS/FATCA & Internal Controls
Maintain robust frameworks for AML/CFT controls, investor due diligence, sanctions screening, CRS/FATCA compliance, and perform periodic reviews of internal controls. - Oversight of Service Providers & Trustees/Custodians
Engage with custodians, trustees, fund administrators, auditors, market makers, and index providers to ensure consistent adherence to regulatory and operational standards. - Regulatory Advisory & Issue Management
Provide expert regulatory advice on ETF structuring, product design, distributions, index licensing, corporate actions, and regulatory issues arising during product lifecycle management. - Senior Stakeholder Engagement & Strategic Initiatives
Partner with senior management to drive the ETF business strategy, lead regulatory discussions, manage board/committee reporting, and represent the firm in industry or regulatory dialogues.
The Successful Applicant - Hands-on compliance experience with SFC-authorized public funds (unit trusts, OFCs, ETFs), preferably within asset management or trustee/custodian organizations.
- Direct ETF experience in areas such as regulatory advisory, governance, disclosures, transactions, and distributions (preferred).
- Strong working knowledge of SFO, FMCC, UT Code, OFC Code, Code of Conduct, AML/CFT Guideline, CRS/FATCA, and applicable HKEX Listing Rules.
- Holds (or held within the past 3 years) unconditional RO status for Type 9, with no conditions, waivers, or restrictions.
- Excellent stakeholder management skills, with ability to lead regulatory engagements and influence senior decision-makers.
- Strong command of written and spoken English; Chinese proficiency preferred but not mandatory.
What's on Offer Growing platform with global exposure