SFC Type 9/ 4&9 Responsible Officers (RO) with Compliance Experience

TeamPlus Consulting Limited; Hong Kong; Sur place; HKD 1 000 000 - 2 000 000; Plein temps

Résumé du poste

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.

Responsabilités

• 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.

Connaissances

English

Chinese

Formation

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

Description du poste

SFC Type 9/ 4&9 Responsible Officers (RO) with Compliance Experience

Regulated Activities Supervision: Oversee and supervise the firm’s daily Type 4 and Type 9 regulated activities, ensuring sound governance, risk control, and operational integrity across investment and advisory workflows.

Regulatory Liaison & SFC Enquiries: Act as the primary liaison with the SFC, directly managing regulatory enquiries, licensing notifications, periodic filings, and on-site/off-site SFC inspections.

Compliance & Risk Oversight: Formulate, review, and update internal compliance manuals, operational procedures, AML/KYC frameworks, and risk management policies in accordance with the Securities and Futures Ordinance (SFO) and SFC codes/guidelines.

Ongoing Monitoring & Advisory: Conduct periodic compliance reviews, monitor investment restrictions and trade allocations, review marketing/investor materials, and provide practical regulatory advice to senior management and investment teams.

Governance & MIC Duties: Fulfill Manager-in-Charge (MIC) responsibilities (such as Overall Management Oversight, Compliance, and/or Risk Management) and report key regulatory updates to the Board.

Requirements:

Licensing: Current unconditional SFC Responsible Officer for Type 4 and Type 9 regulated activities (clean regulatory record required).

Experience: Minimum of 5–8 years of relevant experience in asset management, private equity, hedge funds, or financial institutions, including prior experience in an RO, compliance, or risk management capacity.

Regulatory Expertise: Strong working knowledge of the Hong Kong SFO, Fund Manager Code of Conduct (FMCC), Code of Conduct, and AML guidelines. Hands‑on track record handling SFC inspections, licensing applications, or regulatory enquiries is a strong advantage.

Education: Bachelor’s degree or above in Finance, Economics, Law, Accounting, or a related discipline.

Languages & Skills: Strong command of written and spoken English and Chinese (Cantonese and/or Mandarin) to effectively draft regulatory responses and communicate with stakeholders. High integrity, sound judgment, and ability to work independently.

All information will be kept strictly confidential

What can I earn as a Responsible Officer