Responsible Officer - Operation (Type 4 & 9), Private Equity Fund

Our client is a well-established and reputable banking group in Hong Kong. They are currently looking for a Responsible Officer (Type 4 & 9) to work closely with the portfolio manager, fund operations team, and compliance team to manage the overall operations of SFC Type 4 & 9 activities and ensure compliance with SFC regulatory requirements.

Responsibilities

1. Act as a Responsible Officer to supervise SFC Type 4 and 9 regulated activities.
2. Write, review, and maintain proper documentation for all operations, policies, and procedures.
3. Work closely with the operations and compliance functions to ensure all activities comply with applicable laws, rules, and regulations.
4. Manage key SFC compliance obligations, including FRR reporting, compliance manual updates, and staff training.
5. Deliver timely compliance advisory services, enforce fund manager investor obligations, and supervise daily fund transactions and settlements.

Requirements

1. Current status as an SFC Type 4 and 9 Responsible Officer (Unconditional) and ready to for registration.
2. Degree holder or above.
3. 5+ years of Responsible Officer (Type 4 & 9) experience with a sizable organization.
4. Solid experience working closely with compliance, risk management, portfolio managers, or senior management within an SFC-licensed corporation or financial institution.
5. Proficiency in FRR.
6. Fluency in spoken and written English is highly preferred.

To apply online please click the 'Apply' button or send your profile to [email protected] . For a confidential discussion about this role & other banking openings please contact Alex CHEUNG at +852 2121 1418