**Job Description:**
We are seeking a highly qualified Responsible Officer to oversee our Type 1, 4 and 9 regulated activities. The successful candidate will be responsible for ensuring that all business activities comply with SFC rules and regulations and for maintaining the highest standards of conduct and integrity within our financial operations.
**Responsibilities:**
- Act as a Responsible Officer with the SFC for Type 1, 4 (Securities) and Type 9 (Asset Management) regulated activities.
- Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and guidelines.
- Provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures.
- Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks.
- Serve as the primary contact with the SFC and handle all regulatory filings, reporting, and communications.
- Keep abreast of regulatory developments and advise the company on compliance matters.
- Participate in the development of new products and business initiatives to ensure they meet all regulatory requirements.
- Provide training and support to staff on compliance-related issues and promote a strong culture of compliance and ethics.
**Qualifications:**
- Current SFC Type 1, 4 and 9 both unconditional RO status or eligibility to act as an RO for Type 4 and 9 regulated activities.
- At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.
- Proven track record of managing compliance functions and interfacing with regulatory bodies.
- Strong leadership and communication skills, with the ability to work effectively with all levels of the organization.
- Detail-oriented and highly analytical, with a proactive approach to problem-solving.
- A degree in Finance, Law, Business Administration, or related fields; advanced qualifications such as JD, MBA, or equivalent are preferred.
- Fluency in English and Cantonese or Mandarin is essential.