SFC Responsible Officer & Compliance Operations Lead

Green Lake Executive Search Co. Limited; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Green Lake Executive Search Co. Limited seeks a Responsible Officer (SFC Type 1, 4, 9) and Head of Operations to develop policies, implement internal controls, and design a robust compliance framework aligned with regulatory requirements.

The role oversees fund operations and investment projects, with an emphasis on AML/CFT and risk management. The candidate must be SFC-accredited for Type 1, 4 and 9 licenses, have at least 3 years in financial services, and possess strong analytical and

Qualifications

• SFC Accredited Responsible Officer for Type 1, 4 and 9 licenses.
• At least 3 years' experience in financial services with a strong understanding of SFC regulations and guidelines.
• Detail-oriented and highly analytical with a proactive approach to problem-solving.
• Solid understanding of middle and back office operations, risk controls and investment process of fund management companies is a plus.
• Proficient PC skills in Microsoft Word, Excel and Chinese word processing.

Responsibilities

• Develop and implement all necessary policies, procedures and internal controls required with regulatory requirements.
• Design and establish the compliance framework, including AML/CFT, risk management, and operational procedures.
• Oversee, manage, and ensure activities comply with all applicable laws, rules and regulations at all times, including proper documentation of all operations, policies and procedures.
• Experience in fund management and discretionary account management.
• Supervise the operation of existing funds and the establishment of new investment projects.
• Handle any other ad-hoc duties as required by the Board.

Skills

Python for data analytics

Microsoft Word

Microsoft Excel

Chinese word processing

Tools

Python

Microsoft Excel

Word processing

Job description

Green Lake Executive Search Co. Limited seeks a Responsible Officer (SFC Type 1, 4, 9) and Head of Operations to develop policies, implement internal controls, and design a robust compliance framework aligned with regulatory requirements.

The role oversees fund operations and investment projects, with an emphasis on AML/CFT and risk management. The candidate must be SFC-accredited for Type 1, 4 and 9 licenses, have at least 3 years in financial services, and possess strong analytical and