Responsible Officer - SFC Type 1, 4 & 9

Responsibilities:

• Type 1 License Setup & Operations: Drive the setup, and day-to-day oversight of Type 1 dealing activities (including fund distribution, placement, and related trading/dealing operations).
• CEO Strategic Projects: Collaborate closely with the CEO on high-priority strategic initiatives, offshore structure setups, and business expansion projects.
• Fund & Offshore Operations Support: Oversee and manage offshore fund structures (e.g., Cayman and BVI funds), handling operational workflows, and investor setup.
• SFC Compliance & Supervision: Act as an SFC-approved Responsible Officer for Type 1, 4, and 9 activities; ensure strict adherence to the SFO, SFC Codes of Conduct, AML/CFT policies, and continuous compliance protocols.
• Regulator Liaison: Serve as the primary point of contact with the Hong Kong Securities and Futures Commission (SFC) for licensing matters, audits, and routine regulatory communication.
• Team Leadership & Culture: Work within a lean, agile environment, mentoring junior operational staff and fostering a collaborative team spirit.

Requirements:

• Currently holding or previously held SFC Responsible Officer (RO) status for Type 1, 4, and 9 (unconditional RO status preferred).
• Strong track record in asset management, securities dealing, or brokerage setup, ideally with ~7 to 12 years of overall professional experience.
• Proven hands-on experience managing and structuring offshore vehicles, specifically Cayman Islands and BVI fund structures.
• Strong preference for a energetic, proactive professional comfortable working directly with executive leadership (CEO) in an agile, entrepreneurial setting.
• Deep familiarity with Hong Kong SFO regulations, SFC operational guidelines, fund operations, and Type 1 dealing workflows.
• Excellent command of written and spoken English and Putonghua/Cantonese to liaise with internal teams, CEO projects, and regulators effectively.