Head of Operations & SFC Responsible Officer (Type 4/9)

313 Capital Management Limited; Hong Kong; On-site; HKD 1,000,000 - 1,500,000; Full time

Job summary

313 Capital Management Limited seeks a Responsible Officer (SFC Type 4, 9) & Head of Operations to design and implement robust compliance frameworks, AML/CFT, and risk controls for fund operations and investment projects.

The role requires SFC RO accreditation for Type 4/9 (and ideally Type 1/2), with 3+ years in financial services, sharp analytical skills, and strong middle/back office knowledge. Proficiency in Word/Excel and Chinese word processing is expected.

Qualifications

• Currently accredited by SFC as Responsible Officer for Type 4 and 9 licenses.
• Accredited by SFC as Responsible Officer for Type 1 and 2 licenses is advantageous.
• At least 3 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.
• Detail-oriented and highly analytical, with a proactive approach to problem-solving.
• Solid understanding about middle and back office operations, risk controls and investment process of fund management companies a plus.
• Proficient PC skills in Microsoft Word, Excel and Chinese word processing.
• Experienced in Python for data scraping and analytics is an advantage.

Responsibilities

• Develop and implement all necessary policies, procedures and internal controls required with regulatory requirements.
• Design and establish the compliance framework, including AML/CFT, risk management, and operational procedures.
• Oversee, manage, and ensure the activities are in comply to all applicable laws, rules and regulations at all times, including the proper documentation of all operations, policies and procedures.
• Experience in fund management and discretionary account management.
• Supervise the operation of existing funds and the establishment of new investment projects.
• Handle any other ad-hoc duties as required by the Board.

Skills

SFC Type 4/9 RO

Regulatory compliance

Risk management

Fund operations

Analytical mindset

Python for analytics

Detail-oriented

Tools

Python

Microsoft Word

Microsoft Excel

Job description

313 Capital Management Limited seeks a Responsible Officer (SFC Type 4, 9) & Head of Operations to design and implement robust compliance frameworks, AML/CFT, and risk controls for fund operations and investment projects.

The role requires SFC RO accreditation for Type 4/9 (and ideally Type 1/2), with 3+ years in financial services, sharp analytical skills, and strong middle/back office knowledge. Proficiency in Word/Excel and Chinese word processing is expected.