Responsible Officer （Type 1/4/9）

LTP; Hong Kong; Presencial; HKD 900.000 - 1.500.000; Jornada completa

Descripción de la vacante

LTP is seeking an approved Responsible Officer and MIC for Type 1, 4 and 9 activities in Hong Kong. You will oversee the compliance framework, monitor the SFO, the Code of Conduct for Persons Licensed by the SFC, FMCC, and AML/CFT obligations and supervise regulated activities with direct accountability.

Lead the design of policies, reviews and controls, and supervise private funds launches, KYC/CDD, best execution, and risk management.

Formación

• Proven knowledge of SFO, FMCC, AML/CFT and related codes.
• Experience as RO/MIC or similar regulatory lead is preferred.
• Strong understanding of funds structures (Cayman, HK OFC/LPF) and asset management.

Responsabilidades

• Act as RO for Type 1, 4 and 9 regulated activities and MIC of Compliance/Control functions.
• Maintain compliance framework ensuring adherence to SFO, SFC codes, FMCC and related guidelines.
• Lead regulatory workstreams for private funds launches and supervise KYC/CDD, conflicts of interest, and governance controls.
• Design and execute annual compliance monitoring, surveillance, risk assessments and remediation.
• Oversee middle- and back-office operations to ensure integrity and regulatory compliance.

Conocimientos

Regulatory knowledge

Leadership

Stakeholder management

Analytical thinking

Communication

SFC licensing awareness

English & Chinese fluency

Educación

Bachelor's degree in Law, Finance, Accounting, Business

Herramientas

Compliance systems

Descripción del empleo

Responsibilities

1. Act as an apapproved Responsible Offffificer fofor Type 1 (Dealing in Securities), Type4 (Advising on Securities) and Type 9 (Asset Management) regulated activities, and serve as Manager-In-Charge (MIC) of the Compliance and/d/or OperationalControl & Review core fufunctions, with direct accountability fofor the supupervisionof the fifirm's regulated activities.
2. Own and maintain the fifirm's compliance frframework, ensuring ongoing adherenceto the Securities and Fututures Ordinance (SFO), the Code of Conduduct fofor PersonsLicensed by or Registered with the SFC, the Fund Manager Code of Conduduct(FMCC), the Management, Supupervision and Internal Control Guidelines, theAML/CFT Guideline, and all other apapplicable SFC codes, circulars and FAQs.
3. Develop, implement and periodically review compliance policies, procedudures andthe compliance manual, including those covering KYC/CDD and suitability, conflflicts of interest, personal account dealing, best execution, order allocation, valuation, liquidity risk management, custody of client assets and record-keeping.
4. Lead the regulatory workstream fofor the launch of private fufunds (Cayman, BVI, Hong Kong OFC/LPF or other struructures), including review of offffeferingdocuments, investment mandates, side letters and service provider agreements;ensure compliance with SFC requirements and, where apapplicable, the additionalterms and conditions fofor managers of virtutual asset portfofolios.
5. Design and execute the annual compliance monitoring programme; conduduct tradesurveillance and post-trade reviews; perfoform regular compliance reviews and riskassessments; identify fy control gapaps and drive remediation to closure.
6. Participate in the design and apapproval of new produducts, strategies and businesslines, assessing licensing implications, regulatory constraints and requiredcontrols befobefore launch.
7. Oversee middle- and back-offffifice operations (trade settlement, reconciliations, fufund administration liaison, NAV review, cash and asset movements) to ensureoperational integrity and regulatory compliance

Requirements

1. Currently apapproved by the SFC as a Responsible Offffificer fofor Type 1, Type 4 andType 9 regulated activities, without licence conditions, with a clean disciplinaryand regulatory record and the ability to transfefer the accreditation promptly.
2. Minimum 5 years of relevant experience in the Hong Kong fifinancial servicesindudustry, of which at least 3 years in asset/t/fufund management at a licensedcorprporation; prior experience as an RO or MIC strongly prefeferred.
3. Bachelor's degree in Law, Finance, Accounting, Business or a related discipline;profefessional qualififications (e.g. CFA, CPA, HKSI, ACAMS, or legalqualifification) are an advantage.
4. In-depth knowledge of the SFO and subsidiary legislation, the Code of Conduduct, FMCC, FRR, AML/CFT requirements and SFC licensing procedudures.
5. Solid understanding of the investment process, middle- and back-offffificeoperations, risk controls and fufund struructures (including Cayman and Hong KongOFC/LPF vehicles) of a fufund management company.
6. Experience with virtutual asset / crypto fufunds, SFC-licensed virtutual asset tradingplatfoforms, or the SFC's virtutual asset regulatory regime is a strong plus.
7. Hands-on, able to operate independently in a lean environment and work underpressure with tight regulatory deadlines.
8. Strong analytical, leadership, communication and stakeholder-management skills, with the ability to explain regulatory requirements clearly to frfront-offffifice andsenior management.
9. Excellent command of written and spoken English and Chinese (Cantonese andMandarin)