Chief Operating Officer (SFC Type 1, 4 and 9)

EPIL PROFESSIONAL SERVICES LIMITED; Hong Kong; On-site; HKD 1,200,000 - 2,400,000; Full time

Job summary

EPIL PROFESSIONAL SERVICES LIMITED seeks a Chief Operating Officer to lead daily operations, fund operations and regulatory coordination for an SFC-licensed asset manager in Hong Kong. You will collaborate with senior management, investment, compliance, finance and administration to strengthen controls and drive growth.

The role requires 5+ years in a senior operations capacity within an SFC-licensed firm, with deep knowledge of Type 4/9 licenses, and Mandarin/English proficiency to liaise with

Qualifications

• 5+ years in an operational leadership or senior management role within an SFC-licensed firm.
• Solid knowledge of SFC Type 4 and Type 9 regulated activities and related workflows.
• Experience liaising with SFC and managing regulatory reporting.

Responsibilities

• Oversee daily operations and administrative functions across the firm.
• Establish and implement policies, internal controls and SOPs.
• Coordinate with investment management, compliance, finance and administration teams.
• Oversee fund administration activities including subscriptions, redemptions, settlements and reconciliations.
• Coordinate with fund administrators, custodians, prime brokers and auditors.
• Support compliance with SFC regulatory requirements and risk management.

Skills

Leadership

Strategic thinking

Regulatory coordination

Stakeholder management

Bilingual English/Chinese

Education

Bachelor's degree in Finance/Business/Economics/Law

Job description

Chief Operating Officer (SFC Type 1, 4 and 9)

We are seeking an experienced operations leader to oversee the daily operations, fund operations, regulatory coordination and strategic business support of an SFC-licensed asset management business. This role will work closely with senior management, investment management, compliance, finance and administration teams to strengthen operational controls, support business growth and ensure efficient delivery across the organisation.

Key responsibilities

Oversee and manage daily business operations and administrative functions.

Establish and implement operational policies, procedures, internal controls and Standard Operating Procedures.

Ensure effective coordination among investment management, compliance, finance and administration teams.

Identify and implement opportunities to improve operational efficiency and business processes.

Oversee fund administration activities, including subscriptions, redemptions, settlements and reconciliations.

Coordinate with fund administrators, custodians, execution brokers, prime brokers, auditors and other external service providers.

Monitor investment transaction processing and ensure timely settlement of transactions.

Oversee the preparation and review of fund operational reports and investment-related records.

Work closely with the compliance team and Responsible Officers to support compliance with SFC regulatory requirements.

Oversee operational risk management policies, internal control procedures and compliance monitoring arrangements.

Coordinate regulatory submissions, licence maintenance matters and responses to SFC enquiries.

Monitor operational risks and ensure appropriate remedial actions are implemented when necessary.

Assist senior management in developing and implementing business expansion plans.

Support the establishment of new funds, investment products and business initiatives.

Evaluate operational requirements and resources needed for business growth.

Coordinate cross-functional projects supporting the organisation's long-term development.

What we're looking for

At least 5 years of proven experience in an operational leadership or senior management role, such as COO, Head of Operations or Senior Operations Manager, within an SFC-licensed corporation or institutional asset management firm.

Solid understanding and hands-on experience in SFC Type 4 and Type 9 regulated activities and related operational workflows.

A bachelor's degree or above in Finance, Business Administration, Economics, Law or a related discipline.

Current or prior status as an SFC Responsible Officer for Type 4 and/or Type 9 is highly preferred but not mandatory.

Deep knowledge of the end-to-end lifecycle of fund operations, including discretionary accounts and public and private fund structures such as Cayman funds, OFC and LPF.

Strong familiarity with middle- and back-office operations, including trade execution, clearing, settlement, valuation and fund accounting.

Proven experience managing vendors and third-party service providers, including fund administrators, custodians, prime brokers and auditors.

Thorough knowledge of the Securities and Futures Ordinance, SFC Code of Conduct, Fund Manager Code of Conduct and Anti-Money Laundering guidelines.

Demonstrated experience establishing, reviewing and enforcing internal control policies, operational risk frameworks and Standard Operating Procedures.

Proven ability to liaise effectively with the SFC and manage regulatory reporting, enquiries and audits.

Excellent leadership, interpersonal and communication skills, with the ability to manage cross-functional teams and collaborate with senior stakeholders including the CEO, Board and CIO.

Strong strategic thinking and problem-solving capabilities, with an analytical and detail-oriented approach.

Excellent command of spoken and written English and Chinese, including Mandarin.