Responsible Officer （Type 1/4/9）

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

Descripción de la vacante

LTP in Hong Kong seeks an experienced Compliance Officer to act as approved RO for Type 1, Type 4 and Type 9 activities and to serve as MIC of Compliance and Operational Control & Review, with direct accountability for supervising the firm’s regulated activities.

You will own and maintain the compliance framework, ensure ongoing adherence to the SFO, FMCC, AML/CFT guidelines, and lead regulatory workstreams for private fund launches, with a focus on controls, documentation, and risk management.

Formación

• Currently approved by the SFC as RO/MIC for Type 1, Type 4 and Type 9.
• At least 5 years of HK financial services experience, with 3 in asset/fund management.
• Bachelor's degree in Law, Finance, Accounting or related; professional qualifications an advantage.
• Deep knowledge of the SFO and FMCC, AML/CFT and licensing procedures.
• Strong communication in English and Chinese; able to explain regulatory requirements clearly.

Responsabilidades

• Act as approved RO MIC for Type 1, Type 4 and Type 9 activities with accountability for supervision of regulated activities.
• Maintain and own the firm's compliance framework per SFO, FMCC and related guidelines.
• Develop and review compliance policies including KYC/CDD, Conflicts of Interest, personal dealing, and record-keeping.
• Lead regulatory workstreams for launches of private funds and review offering documents and service agreements.
• Design and execute the annual compliance monitoring programme, including surveillance and risk assessments.
• Participate in product and strategy approvals considering licensing implications and regulatory constraints.
• Oversee middle- and back-office operations to ensure operational integrity and regulatory compliance.

Conocimientos

SFC licensing

Regulatory risk management

Stakeholder management

English & Chinese fluency

Educación

Bachelor's degree in Law/Finance

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 virtutial 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 before 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 qualifications (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-offffice andsenior management.
• 9. Excellent command of written and spoken English and Chinese (Cantonese andMandarin)