Senior Responsible Officer - SFC Compliance Leader

iPlatform HR Service Limited; Hong Kong Island; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

iPlatform HR Service Limited seeks a Responsible Officer (Type 1, 4, 9) to oversee asset management regulatory compliance in Hong Kong. The role requires active RO status and leadership to guide policy development and monitoring.

You will manage regulatory filings, communicate with the SFC, and ensure ongoing adherence to the Code of Conduct. English fluency and Cantonese/Mandarin ability are essential for effective collaboration across the organization.

Qualifications

• Must hold SFC Type 1, 4 and 9 licenses with RO status and eligibility.
• At least 5 years of experience in financial services with strong SFC knowledge.
• Demonstrated leadership and cross-level communication abilities.
• Detail-oriented and analytical with proactive problem-solving.
• Bachelor’s degree in Finance, Law, Business Admin or related field.
• Fluent in English; Cantonese or Mandarin required.

Responsibilities

• Act as RO for Type 1, 4 and 9 (Asset Management) licensed activities.
• Oversee and ensure compliance with laws, rules, and SFC Code of Conduct.
• Lead development and monitoring of compliance policies and procedures.
• Monitor trading activities and conduct risk reviews to mitigate risks.
• Serve as primary contact with the SFC for filings and communications.
• Stay updated on regulatory developments and advise on related matters.

Skills

Regulatory knowledge

Leadership

Communication skills

Languages: English

Bilingual: Cantonese/Mandarin

Education

Bachelor's degree in Finance/Law/Business Administration

Job description

iPlatform HR Service Limited seeks a Responsible Officer (Type 1, 4, 9) to oversee asset management regulatory compliance in Hong Kong. The role requires active RO status and leadership to guide policy development and monitoring.

You will manage regulatory filings, communicate with the SFC, and ensure ongoing adherence to the Code of Conduct. English fluency and Cantonese/Mandarin ability are essential for effective collaboration across the organization.