SFC Type 9 Responsible Officer — Compliance & Risk Lead

Experis; Hong Kong Island; Presencial; HKD 1.200.000 - 1.800.000; Jornada completa

Descripción de la vacante

Experis in Hong Kong seeks an experienced compliance professional to oversee regulatory adherence for asset management, including SFC standards and cross-border investments.

You will support fund formation, AML/CFT, risk management, and investor relations with institutional clients across jurisdictions.

The role requires SFC Type 9 RO eligibility, 7+ years in asset management, and a strong ability to work independently under tight deadlines.

Formación

• Ensure adherence to regulatory requirements and internal compliance policies in line with SFC standards.
• Experience supporting fund formation, cross-border investments and investment structuring.
• Knowledge of SFO, SFC Codes of Conduct and related guidelines.
• Experience with AML/CFT and product suitability frameworks.

Responsabilidades

• Ensure adherence to regulatory requirements and internal compliance policies in line with SFC standards.
• Provide compliance support for fund formation, cross-border investments, and investment structuring, including offshore fund structures in Cayman Islands, Luxembourg, and other jurisdictions.
• Ensure full compliance with the Securities and Futures Ordinance (SFO), SFC Codes of Conduct and applicable guidelines, and handle regulatory filings, inspections and communications.
• Establish and oversee internal controls, compliance, anti-money laundering (AML/CFT) and product suitability frameworks and procedures.
• Supervise account-opening processes, investment advice and trade order execution to ensure compliant operations.
• Develop and maintain investor relationships including sovereign funds, pension funds, funds of funds (FOF), family offices, insurance asset management, private banks, and high-net-worth clients.

Conocimientos

SFC Type 9 RO eligibility

Regulatory compliance

Risk management

Asset management operations

Educación

Bachelor's degree in Finance, Economics or related field

Descripción del empleo

Experis in Hong Kong seeks an experienced compliance professional to oversee regulatory adherence for asset management, including SFC standards and cross-border investments.

You will support fund formation, AML/CFT, risk management, and investor relations with institutional clients across jurisdictions.

The role requires SFC Type 9 RO eligibility, 7+ years in asset management, and a strong ability to work independently under tight deadlines.