Responsible Officer

Skills

About the Role

You will act as the Responsible Officer for SFC Type 1 and Type 4 licences, maintain licence applications and ongoing compliance, liaise with the SFC and other regulatory bodies, develop and implement plans to ensure regulatory compliance, review operations, policies and procedures to ensure alignment with regulatory standards, collaborate with internal stakeholders to obtain the necessary information for licence applications, coordinate and respond to enquiries from the SFC, and stay updated on regulatory changes and industry best practices related to SFC licensing.

Requirements

• Must be a current holder of Type 1 and Type 4 licences, and have a demonstrable history of licence maintenance
• A minimum of 10 years of relevant experience in the financial services industry, with a focus on licensing and regulatory compliance; previous experience as a Responsible Officer is preferred
• In-depth knowledge of Hong Kong securities and futures regulations, including the SFO and relevant codes and guidelines
• Familiarity with the virtual asset industry and blockchain technology is strongly preferred
• Excellent communication and interpersonal skills, with the ability to effectively engage with regulatory bodies, internal stakeholders, and external service providers
• Strong analytical and problem solving abilities, with attention to detail
• Ability to work independently and manage multiple tasks and deadlines
• A proactive and results oriented mindset, with a strong sense of ownership and accountability

Responsibilities

• Act as the Responsible Officer for SFC Type 1 and Type 4 licences
• Own the licence application and maintenance processes
• Supervise regulated activities
• Liaise with the SFC and other regulatory bodies
• Develop and implement plans to ensure regulatory compliance
• Review operations policies and procedures to ensure alignment with regulatory standards
• Collaborate with internal stakeholders to obtain the information necessary for licence applications
• Coordinate and respond to enquiries from the SFC
• Stay updated on regulatory changes and industry best practices related to SFC licensing
• Provide guidance on licensing matters to ensure ongoing compliance
• Establish and maintain strong relationships with external legal and compliance professionals

Benefits

• Competitive salaries and bonuses
• Generous paid time off including leave for birthdays and work anniversaries
• Dedicated corporate discounts and exclusive employer perks
• Medical and retirement plans
• Professional learning and development opportunities
• Access to cutting edge technology
• Fun and friendly office spaces in Hong Kong Singapore Dubai and Vietnam
• Regular company and social events