Responsible Officer - Type 9 Asset Management

• Fast-Growing SFC Type 9 Asset Management Startup
• Lead Compliance & Governance in a Growing Startup

About Our Client

Our client is a Hong Kong-based start-up asset management firm holding an SFC Type 9 (Asset Management) licence, focused on delivering investment management solutions across Hong Kong and Greater China. The firm is building its presence in the market with a strategic focus on Hong Kong and Mainland China, offering for Responsible Officer (RO) to join at a pivotal stage of growth and development

Job Description

• Ensuring compliance with local regulatory requirements and industry standards.
• Supervising the daily operations of banking and financial services activities.
• Providing guidance on risk management and internal control measures.
• Preparing and submitting regulatory filings and reports.
• Monitoring and improving compliance frameworks and policies.
• Conducting regular audits to ensure adherence to procedures.
• Acting as the primary contact for regulatory bodies and external auditors.
• Training staff on compliance and regulatory requirements.

The Successful Applicant

• Bachelor's Degree holder of business administration or relevant discipline
• Current SFC Type 9 RO holder, at least 5 years of working experience within Hong Kong asset management, fund management, investment management, securities, or regulatory compliance.
• Solid working experience in supervisory, compliance, risk-management, or senior management responsibilities within an SFC-licensed corporation or financial institution.
• Strong attention to detail, technical skills with clear and logical manner
• Work collaboratively with team member
• Strong quick learning ability to understand policies, procedures, systems, process and controls
• Excellent of written and verbal communication skills in English and Chinese

What's on Offer

• Competitive remuneration package
• Dynamic working environment