Responsible Officer (SFC Type 1, 2, 4,9)

Alpha Sea Corporate Service Limited; Hong Kong; In loco; HKD 600.000 - 1.200.000; Tempo pieno

Descrizione del lavoro

Alpha Sea Corporate Service Limited is seeking an experienced Responsible Officer (SFC Type 1, 2, 4, 9) to oversee daily operations including account opening, fund management, and trade settlement in Hong Kong. The role requires strong KYC/AML oversight, risk management, and collaboration with IT for back-office enhancements.

You will lead regulatory compliance efforts, ensure readiness for new products, and resolve complex issues with stakeholders.

Competenze

• Degree holder in Business/Finance/Accounting or related discipline(s).
• Qualified SFC Type 1, 2, 4 & 9 Responsible Officer License holder.
• Minimum 8 years' experience in securities and asset management.
• Expert knowledge of SFC licensing requirements and application processes.
• Strong understanding of regulatory frameworks for newly established financial institutions.
• Strong interpersonal skills, self-motivated, proactive and results oriented.
• Good command of written and spoken English and Chinese.
• Short notice or Immediate availability is highly preferred.

Mansioni

• Oversee daily operations including account opening, fund management, trade settlement, reconciliation, and transaction monitoring.
• Oversee and monitor KYC, AML and account opening process, review monthly FRR.
• Manage escalations and effectively resolve exceptions, disputes, and risk events.
• Establish and enhance management data and operational reporting systems.
• Collaborate with Product and IT teams to upgrade back-office systems and workflows.
• Ensure operational alignment with regulatory expectations.
• Support operational readiness for new business and product launches
• Ad hoc projects as assigned.

Conoscenze

Interpersonal skills

English & Chinese

Formazione

Business/Finance/Accounting degree

Strumenti

SFC RO License

Descrizione del lavoro

Responsible Officer (SFC Type 1, 2, 4,9)

1. Oversee daily operations including account opening, fund management, trade settlement, reconciliation, and transaction monitoring.

2. Oversee and monitor KYC, AML and account opening process, review monthly FRR.

3. Manage escalations and effectively resolve exceptions, disputes, and risk events.

4. Establish and enhance management data and operational reporting systems.

5. Collaborate with Product and IT teams to upgrade back-office systems and workflows.

6. Ensure operational alignment with regulatory expectations.

7. Support operational readiness for new business and product launches

8. Ad hoc projects as assigned.

Requirements:

1. Degree holders in Business/Finance/Accounting or relateddiscipline(s)

2. Qualified SFC Type 1,2, 4 & 9Responsible Officer License holder

3. Minimum 8 years' experience in securities and asset management

4. Expert knowledge of SFC licensing requirements and application processes

5. Strong understanding of regulatory frameworks for newly established financial institutions

6. Strong interpersonal skills, self-motivated, proactive and results oriented, able to work in a fast-paced team environment;

7. Good command of written and spoken English and Chinese.

8. Short notice or Immediate availability is highly preferred.

Your application will include the following questions:

• Which of the following statements best describes your right to work in Hong Kong?
• What's your expected monthly basic salary?
• What is your highest level of education?
• Which of the following SFC Licenses do you hold?