Responsible Officer (SFC Type 9)

Gary Cheng CPA Limited; Hong Kong; On-site; HKD 558,000 - 670,000; Full time

Benefits offered by this job

5-days work

Continuous training and development

Competitive package

Group medical and annual leave

Job summary

Gary Cheng CPA Limited in Hong Kong seeks an experienced Responsible Officer to supervise SFC Type 9 activities and ensure regulatory compliance. The role oversees daily operations and coordinates with fund administrators, custodians, legal advisers and auditors in Kwun Tong.

The successful candidate will lead the setup and ongoing operation of investment funds, oversee fund investments, and ensure adherence to SFC rules, the SFO, and company guidelines while driving risk management and

Qualifications

• Minimum 5 years’ management experience in SFC-licensed firms.
• Proven hands-on experience in setting up, launching and operating investment funds.
• Experience liaising with fund administrators, custodians, legal advisers, auditors and other professionals.
• Qualified for an SFC Responsible Officer licence for Type 9; knowledge of Types 1 and 4 is a plus.
• Strong knowledge of the SFO, SFC Code of Conduct and applicable regulations.
• Fluent in English and Chinese; Mandarin is an advantage.
• Independent, self-motivated, well-organized and deadline-driven.

Responsibilities

• Act as a Responsible Officer with management duties to supervise SFC Type 9 activities.
• Monitor daily operations to ensure full regulatory compliance.
• Lead setup, launch and ongoing operation of investment funds with external partners.
• Oversee fund investments and transactions for the Company or clients.
• Oversee compliance functions and enforce company guidelines.
• Implement business development and marketing plans.
• Assist in ad hoc assignments as required.

Skills

Regulatory compliance

Operations oversight

Risk management

Fund setup coordination

Liaising with service providers

English & Chinese communication

Deadline-driven

Detail-oriented

Education

Bachelor's degree in Finance/ Banking or related

Job description

Responsibilities:

• Act as a Responsible Officer with management responsibilities and duties to supervise SFC Type 9 regulated activities
• Responsible for the monitoring of the daily business operations to ensure full regulatory compliance
• Lead and participate in the set-up, launch and ongoing operation of investment funds, including coordinating with fund administrators, custodians, legal advisers, auditors and other service providers
• Assist in formulating investment and fund strategies and oversee fund investments and transactions of the Company or clients
• Oversee the compliance functions of the Company and take necessary actions to ensure all business activities comply with SFC rules and Company guidelines
• Implement business development and marketing plans
• Assist in ad hoc assignments as required

Requirements:

• Degree holder or above in Finance, Banking, or related disciplines
• Minimum of 5 years’ management experience in SFC-licensed firms, with solid knowledge of operations, compliance, and risk management
• Proven hands-on experience in setting up, launching and operating investment funds is essential
• Experience in handling the end-to-end fund establishment process and liaising with fund administrators, custodians, legal advisers, auditors and other professional parties is highly preferred
• Qualified for an SFC Responsible Officer licence for Type 9 regulated activity; eligibility for or existing approval in Types 1 and 4 would be an advantage
• Sound knowledge of the SFO, the SFC Code of Conduct, applicable regulations and guidelines issued by relevant regulatory authorities, and risk management controls
• Good command of both written and spoken English and Chinese; fluency in Mandarin would be an advantage
• Independent, self-motivated, well-organized and detail-oriented, with the ability to work under tight deadlines and a strong sense of responsibility

Remuneration and benefits:

• 5-days work
• Continuous training and development opportunities
• Competitive package
• Group medical and annual leave

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## More Job Information

Salary

• 50000 - 60000 / MONTH

Job Function

• 銀行 金融服務 - 投資服務

Location

• 觀塘

Employment Term

• 全職

Employment Term

• 長期

Education

• 學士