SFC RO (Type 4 & 9) - Compliance & Regulatory Lead

TeamPlus Consulting Limited; Hong Kong; On-site; HKD 1,000,000 - 2,000,000; Full time

Job summary

TeamPlus Consulting Limited seeks a seasoned SFC Responsible Officer for Type 4 and Type 9 activities. You will lead governance, risk controls and ensure regulatory compliance across asset management and advisory workflows.

You will liaison with the SFC, manage licensing and inspections, and oversee AML/KYC frameworks, manuals, and ongoing monitoring. Strong English and Chinese communication is essential.

Qualifications

• Minimum 5–8 years of relevant experience in asset management, private equity, hedge funds, or financial institutions.
• Current unconditional SFC Responsible Officer for Type 4 and Type 9.
• Strong working knowledge of the Hong Kong SFO, FMCC, Code of Conduct, and AML guidelines.

Responsibilities

• Oversee and supervise the firm’s daily Type 4 and Type 9 regulated activities, ensuring governance, risk control, and operational integrity.
• Act as primary liaison with the SFC, managing regulatory enquiries, licensing notifications, periodic filings, and inspections.
• Formulate, review, and update internal compliance manuals, AML/KYC frameworks, and risk management policies.
• Conduct periodic compliance reviews, monitor investment restrictions and trade allocations, review marketing/investor materials, and advise senior management and investment teams.
• Fulfill MIC responsibilities (Overall Management Oversight, Compliance, Risk Management) and report key regulatory updates to the Board.

Skills

English

Chinese

Education

Bachelor’s degree or above in Finance, Economics, Law, Accounting

Job description

TeamPlus Consulting Limited seeks a seasoned SFC Responsible Officer for Type 4 and Type 9 activities. You will lead governance, risk controls and ensure regulatory compliance across asset management and advisory workflows.

You will liaison with the SFC, manage licensing and inspections, and oversee AML/KYC frameworks, manuals, and ongoing monitoring. Strong English and Chinese communication is essential.