Director & Responsible Officer (Type 1, 4, 9)

Awaken Thunder Capital Limited; Hong Kong Island; Sur place; HKD 1 200 000 - 2 100 000; Plein temps

Avantages offerts par ce poste

Professional development opportunities

Performance-based incentives

Collaborative working environment

Work-life balance

Résumé du poste

Awaken Thunder Capital Limited is seeking a Director & Responsible Officer (Type 1, 4, 9) to oversee funds management operations in Hong Kong. This full-time role is based in the Central and Western District, reporting to senior management and liaising with the SFC on regulatory matters.

Candidates should hold SFC RO accreditation and possess extensive experience with Type 1, 4, and 9 activities. The position requires a bachelor’s degree in a finance-related field, fluency in English and

Qualifications

• Bachelor’s degree in Finance, Economics, Business Administration, or a related discipline.
• Unconditional SFC Responsible Officer accreditation for Type 1, 4, 9 licenses.
• Strong compliance mindset and regulatory knowledge.

Responsabilités

• Act as Director & Responsible Officer for SFC Type 1, 4, 9 regulated activities.
• Serve as primary point of contact with the SFC and manage regulatory inquiries.
• Oversee trading, settlement, risk control and client service operations.
• Provide strategic guidance and collaborate with other departments to manage risks.
• Ensure regulatory compliance with SFO, SFC Handbook and related laws.
• Perform ad-hoc duties as assigned by management.

Connaissances

Communication skills

Bilingual English/Chinese

Regulatory liaison

Formation

Bachelor’s degree in Finance/Economics/Business Admin

SFC unconditional RO accreditation

Description du poste

Director & Responsible Officer (Type 1, 4, 9)

About the role Awaken Thunder Capital Limited is seeking an experienced Director & Responsible Officer (Type 1, 4, 9) to join our organisation on a full-time basis. This is a strategic leadership position based in the Central and Western District, where you will assume significant responsibility for the oversight and direction of our funds management operations. As a Responsible Officer, you will be accountable for ensuring regulatory compliance across dealing in securities (Type 1), advising on securities (Type 4), and asset management (Type 9) activities. This role is integral to maintaining the trust and integrity of our business whilst driving our growth and strategic objectives within the competitive funds management landscape.

Key responsibilities

Act as a Director & Responsible Officer for SFC Type 1, 4, 9 regulated activities.

Serve as the primary point of contact with the SFC, managing all communications and regulatory inquiries.

Oversee business operations including but not limited to trading, settlement, risk control and client service.

Provide strategic guidance and support to the team, and collaborate with other departments to identify and mitigate potential risks.

Ensure the firm's compliance with all applicable regulations and internal policies, and stay up-to-date with industry developments and regulatory changes.

Ad-hoc duties assigned by management.

What we're looking for

Bachelor’s degree in Finance, Economics, Business Administration, or a related discipline.

Currently accredited by SFC as unconditional Responsible Officer for Type 1, 4, 9 licenses.

Solid and hands-on experience in managing SFC licensed corporations holding Types 1, 4, and 9.

Minimum of 5 years of relevant experience in the financial services industry.

In-depth knowledge of the Securities and Futures Ordinance (SFO), SFC Handbook, and other applicable laws and regulations.

Strong financial market knowledge and a high compliance mindset.

Strong communication and interpersonal skills, with the ability to effectively liaise with regulatory authorities and internal stakeholders

Excellent command of spoken and written Chinese and English, including the ability to communicate in Mandarin without barriers.

Must be Hong Kong Permanent Resident

What we offer Awaken Thunder Capital Limited provides a competitive compensation package commensurate with your experience and qualifications. We offer comprehensive benefits including professional development opportunities, performance-based incentives, and a collaborative working environment. We recognise the importance of work-life balance and are committed to supporting the wellbeing of our employees. Our culture values integrity, innovation, and excellence, and we foster an environment where talented individuals can achieve their professional goals.

About us Awaken Thunder Capital Limited is a dynamic funds management firm operating within the Banking & Financial Services sector. We specialise in delivering investment solutions and advisory services to a diverse client base. Our commitment to regulatory excellence, client satisfaction, and professional integrity drives everything we do. We are dedicated to building a team of highly skilled professionals who share our values and contribute to our continued success in the competitive funds management industry. With our headquarters in the Central and Western District, we maintain a strong presence and reputation in the Hong Kong financial markets.