Responsible Officer (SFC Type 1,4,9｜VA Uplift)

Experis; Hong Kong; On-site; HKD 600,000 - 1,000,000; Full time

Job summary

Experis Austria seeks an experienced Compliance Officer to undertake statutory Responsible Officer duties for SFC Type 1, 4 and 9 licences in Hong Kong. The role includes licence maintenance, annual reviews, renewals, and regulatory notifications, while leading the VA Uplift licence upgrade project and preparing regulatory submissions.

The candidate will act as the primary SFC contact, drive remediation actions, and ensure a dual-track compliance framework for VA and traditional businesses with

Qualifications

• Minimum 5 years of compliance experience with RO exposure.
• Proven hands-on VA uplift and SFC regulatory familiarity.
• In-depth knowledge of SFO, SFC codes and AML regulations.
• Hold valid SFC RO status for Type 1/4/9 activities with clean history.

Responsibilities

• Undertake statutory RO duties for SFC Type 1/4/9 licences including maintenance and renewals.
• Lead VA Uplift licence upgrade project and coordinate regulatory submissions.
• Act as primary contact for SFC inspections and remediation actions.
• Conduct end-to-end compliance reviews for VA and traditional businesses.
• Develop and enforce KYC, AML, and conflict of interest controls.

Skills

Cross-team coordination

Resilience

Bilingual English/Chinese

Education

Bachelor's degree in Finance/Law/Economics

Job description

This role involves undertaking statutory Responsible Officer (RO) duties for SFC Type 1, 4, 9 licences, including licence maintenance, annual review, renewal and statutory notifications. You will lead the full VA Uplift licence upgrade project, prepare regulatory submissions, respond to SFC enquiries and drive VA authorisation. You will act as the primary contact for SFC inspections and implement all regulatory remediation actions.

Key responsibilities

• Undertake statutory RO duties for SFC Type 1, 4, 9 licences, including licence maintenance, annual review, renewal and statutory notifications
• Lead the full VA Uplift licence upgrade project, prepare regulatory submissions, respond to SFC enquiries and drive VA authorisation
• Act as the primary contact for SFC inspections and implement all regulatory remediation actions
• Conduct end-to-end compliance review for Type 1/4/9 conventional businesses and VA uplift activities
• Manage compliance risks across VA brokerage, VA advisory, VA fund raising, operation and disclosure
• Oversee middle & back-office operations for all VA business lines
• Establish and continuously upgrade the overall compliance framework covering KYC, AML and conflict of interest controls
• Develop dedicated VA internal control policies, deliver regular compliance training and ensure full policy implementation
• Submit all regulatory returns and compliance reports on schedule, sign statutory documents for both traditional and VA businesses with full legal accountability
• Conduct enterprise-wide compliance risk identification, early warning and breach remediation, handle compliance complaints and irregular incidents

About you

• Minimum 5 years of relevant compliance experience, with at least 1 year of RO working experience covering virtual asset (VA) business
• Proven hands‑on experience in VA Uplift application and VA middle-back office operation
• Bachelor's degree or above in Finance, Law or Economics
• Hold valid SFC RO status for Type 1, 4, 9 regulated activities, fully meet SFC fit-and-proper criteria, with no disciplinary records or adverse regulatory history
• In-depth knowledge of the Securities and Futures Ordinance (SFO), SFC Codes and AML regulations
• Fully familiar with Type 1/4/9 VA Uplift regime and cross-border virtual asset compliance
• Able to liaise independently with SFC, draft regulatory filings and build dual-track compliance systems for traditional and VA businesses
• Strong compliance mindset, rigorous and accountable to take on statutory RO liabilities
• Excellent cross-team coordination and high work resilience
• Excellent written and spoken English and Chinese