Responsible Officer - Type 1 & 4 (operational role)

DNA Recruit Partners is partnering with a well-funded SFC-licensed business and is currently seeking a Responsible Officer (Type 1, 4, & 9) for an operational management role. Reporting directly to the CEO, this position offers an excellent opportunity for a highly motivated and committed individual to advance their career. The successful candidate will be responsible for managing operations and will primarily focus on strategic planning for the business operation plan.

Responsibilities:

• Regulatory Leadership & Oversight: Act as the designated Responsible Officer (RO) for Type 1, 4, and 9 regulated activities, fulfilling all management and supervisory duties as per SFC requirements.
• Compliance Management: Ensure full compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct. Oversee the development, implementation, and regular review of compliance policies and procedures.
• Risk Monitoring & Control: Proactively monitor trading activities, conduct regular compliance reviews and risk assessments, and implement measures to mitigate identified risks.
• Business & Client Development: Supervise the operations of existing funds and lead the launch of new investment projects. Strengthen relationships with existing clients and drive the expansion of the client base.
• Strategic Improvement: Continuously review and enhance the company's operating manuals and internal controls to improve operational efficiency and compliance robustness.
• Ad-hoc Duties: Undertake other projects and responsibilities as directed by the Board of Directors.

Requirements:

• Mandatory Licensing: Must be a qualified SFC Responsible Officer (RO) holding Licenses for Type 1, 4, and 9 regulated activities.
• Education: Bachelor's degree or higher in Finance, Economics, Business, or a related field.
• Experience: A minimum of 8 years of relevant experience in the financial services industry, with proven, in-depth knowledge of SFC regulations and the Hong Kong market.
• Exceptional leadership, analytical, and problem-solving skills.Excellent presentation and interpersonal abilities, with a proven track record in client relationship management and business development.Ability to multitask effectively and perform under pressure in a dynamic environment.
• Full professional proficiency in written and spoken English, Cantonese, and Mandarin.