Senior Responsible Officer & Compliance Lead

LTP; Hong Kong; Sur place; HKD 900 000 - 1 500 000; Plein temps

Résumé du poste

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.

Qualifications

• 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.

Responsabilités

• 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.

Connaissances

Regulatory knowledge

Leadership

Stakeholder management

Analytical thinking

Communication

SFC licensing awareness

English & Chinese fluency

Formation

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

Outils

Compliance systems

Description du poste

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.