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

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

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

Responsible Officer (SFC Type 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 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