Responsible Officer (SFC Type 1,4, 9) /RO 149

Green Lake Executive Search Co. Limited; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Green Lake Executive Search Co. Limited seeks a Responsible Officer (SFC Type 1, 4, 9) and Head of Operations to develop policies, implement internal controls, and design a robust compliance framework aligned with regulatory requirements.

The role oversees fund operations and investment projects, with an emphasis on AML/CFT and risk management. The candidate must be SFC-accredited for Type 1, 4 and 9 licenses, have at least 3 years in financial services, and possess strong analytical and

Qualifications

• SFC Accredited Responsible Officer for Type 1, 4 and 9 licenses.
• At least 3 years' experience in financial services with a strong understanding of SFC regulations and guidelines.
• Detail-oriented and highly analytical with a proactive approach to problem-solving.
• Solid understanding of middle and back office operations, risk controls and investment process of fund management companies is a plus.
• Proficient PC skills in Microsoft Word, Excel and Chinese word processing.

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 activities comply with all applicable laws, rules and regulations at all times, including 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

Python for data analytics

Microsoft Word

Microsoft Excel

Chinese word processing

Tools

Python

Microsoft Excel

Word processing

Job description

Responsible Officer (SFC Type 1,4, 9) /RO 149

About the role

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 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

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Your application will include the following questions

• Which of the following statements best describes your right to work in Hong Kong?