Senior Responsible Officer — SFC Type 1/2/4/9

Alpha Sea Corporate Service Limited

Hong Kong

On-site

HKD 600,000 - 1,200,000

Full time

6 days ago

Be an early applicant

A complete application in a minute

Tailored resume and cover letter, ready to send.

Get past ATS filters

Job summary

Alpha Sea Corporate Service Limited is seeking an experienced Responsible Officer (SFC Type 1, 2, 4, 9) to oversee daily operations including account opening, fund management, and trade settlement in Hong Kong. The role requires strong KYC/AML oversight, risk management, and collaboration with IT for back-office enhancements.

You will lead regulatory compliance efforts, ensure readiness for new products, and resolve complex issues with stakeholders.

Qualifications

Degree holder in Business/Finance/Accounting or related discipline(s).
Qualified SFC Type 1, 2, 4 & 9 Responsible Officer License holder.
Minimum 8 years' experience in securities and asset management.
Expert knowledge of SFC licensing requirements and application processes.
Strong understanding of regulatory frameworks for newly established financial institutions.
Strong interpersonal skills, self-motivated, proactive and results oriented.
Good command of written and spoken English and Chinese.
Short notice or Immediate availability is highly preferred.

Responsibilities

Oversee daily operations including account opening, fund management, trade settlement, reconciliation, and transaction monitoring.
Oversee and monitor KYC, AML and account opening process, review monthly FRR.
Manage escalations and effectively resolve exceptions, disputes, and risk events.
Establish and enhance management data and operational reporting systems.
Collaborate with Product and IT teams to upgrade back-office systems and workflows.
Ensure operational alignment with regulatory expectations.
Support operational readiness for new business and product launches
Ad hoc projects as assigned.