Responsible Officer (Type 9 License) - Virtual Assets Focus

HR Plus; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

HR Plus in Hong Kong seeks a Responsible Officer to lead the Type 9 license application and ongoing compliance, with a strong focus on virtual assets.

The ideal candidate holds an SFC RO qualification (or is eligible) and brings 5–7 years in asset management, plus deep knowledge of virtual assets, regulations, and AML norms. Fluency in English and Cantonese/Mandarin is preferred.

Qualifications

• Licensed as a Responsible Officer under the SFC for Type 9 (Asset Management).
• Strong knowledge of virtual assets and associated regulations.
• 5–7 years in asset management, preferably with licensed firms handling virtual/alternative assets.
• Bachelor's degree; CFA/FRM are advantageous.
• Fluency in English and Cantonese/Mandarin preferred.

Responsibilities

• Lead and manage the Type 9 license application with the SFC in Hong Kong, including documentation and regulator queries.
• Oversee compliance frameworks, risk management and internal controls for asset management with a focus on virtual assets.
• Develop policies for virtual asset management aligned with SFC guidelines on VAFMs and related regulations.
• Conduct due diligence on virtual asset investments, monitor market trends and provide strategic guidance.
• Collaborate with legal, operations and investment teams to integrate virtual assets into offerings.
• Stay updated on regulatory developments in virtual assets and maintain compliant, forward-thinking practices.

Skills

RO license knowledge

Virtual assets experience

Regulatory compliance

English and Cantonese/Mandarin

Education

Bachelor's degree in Finance/Law/Business

Job description

Responsible Officer (Type 9 License) - Virtual Assets Focus

Job Openings Responsible Officer (Type 9 License) - Virtual Assets Focus

About the job Responsible Officer (Type 9 License) - Virtual Assets Focus

About Our Client:

A dynamic, newly established Asset Management firm in Hong Kong, licensed for Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management). As they expand their operations, they are seeking a highly qualified Responsible Officer to lead the application process for their Type 9 license, with a strong emphasis on virtual assets.

The Role

This is a pivotal position where you will serve as the Responsible Officer (RO) for the firm's Type 9 license application and ongoing compliance. You will play a key role in shaping the firm's asset management strategies, particularly in the innovative space of virtual assets (e.g., cryptocurrencies, blockchain-based investments, and digital tokens). Reporting directly to senior management, you will ensure regulatory adherence while driving business growth in this rapidly evolving sector.

Key Responsibilities:

• Lead and manage the application process for the Type 9 license with the Securities and Futures Commission (SFC) in Hong Kong, including preparation of documentation, liaising with regulators, and addressing any queries.
• Oversee compliance frameworks, risk management, and internal controls related to asset management activities, with a focus on virtual assets.
• Develop and implement policies for virtual asset management, ensuring alignment with SFC guidelines on virtual asset fund managers (VAFMs) and related regulations.
• Conduct due diligence on virtual asset investments, monitor market trends, and provide strategic advice to the firm.
• Collaborate with legal, operations, and investment teams to integrate virtual assets into the firm's portfolio offerings.
• Stay abreast of regulatory developments in virtual assets and ensure the firm's practices remain compliant and forward-thinking.

Ideal Candidate Profile:

• Licensed as a Responsible Officer under the SFC for Type 9 (Asset Management), or eligible to apply, with a proven track record in similar roles.
• Extensive knowledge and hands-on experience in virtual assets, including cryptocurrencies, tokenized assets, DeFi, or blockchain technologies.
• Minimum 5-7 years of relevant experience in asset management, preferably within a licensed firm handling virtual or alternative assets.
• Strong understanding of Hong Kong's regulatory environment, including SFC requirements for virtual asset service providers (VASPs) and anti-money laundering (AML) protocols.
• Bachelor's degree in Finance, Law, Business, or a related field; professional qualifications (e.g., CFA, FRM) are advantageous.
• Fluency in English and Cantonese/Mandarin is preferred.