Responsible Officer (SFC Type 1,4, 9)

MC Financial Services Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

MC Financial Services Limited in Hong Kong is seeking a Responsible Officer (SFC Type 1, 4, 9) and Head of Operations to lead regulatory compliance, policy development and risk oversight within a fund management environment. You will design controls, AML/CFT frameworks, supervise fund operations and investment projects, and work with the Board on ad-hoc duties.

Mandarin and English fluency required. The role requires accreditation as SFC RO for Type 1, 4 and 9, with at least six years in

Qualifications

• Licensed as SFC Responsible Officer for Type 1, 4 and 9.
• Minimum 6 years in financial services with regulatory experience.
• Strong analytical and detail-oriented with proactive problem solving.
• Knowledge of fund management operations and middle/back office controls.

Responsibilities

• Develop and implement policies, procedures and internal controls aligned with regulatory requirements.
• Design compliance framework including AML/CFT and risk management.
• Oversee fund operations and investment projects; ensure regulatory compliance.
• Supervise operation of funds and new investment projects.
• Handle ad-hoc duties as required by the Board.

Skills

Regulatory compliance

SFC rules

AML/CFT

Risk management

Policy design

Education

SFC RO accreditation

Tools

MS Word

Excel

Job description

Responsible Officer (SFC Type 1, 4, 9) & Head of Operations responsible for developing and implementing policies, procedures and internal controls aligned with regulatory requirements, designing compliance frameworks including AML/CFT and risk management, and overseeing fund operations and investment projects.

Key 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

About you

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

At least 6 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

Fluent in Mandarin and English