SFC RO 9 - Head of Ops/COO

This is a major asset management firm that invests in hedge funds and digital assets (2b+ USD)

Key Responsibilities:

Lead and manage the application of the company's asset management.

Ensure compliance with the regulations of the Securities and Futures Commission (SFC) of Hong Kong, including requirements related to DA account,QFII,traditional securities brokerage and asset management.

Oversee AML, risk management and internal controls to meet regulatory expectations.

Collaborate with key internal and external stakeholders, including investors, regulators, auditors, and management teams, to ensure operational efficiency and compliance.

Maintain a deep understanding of evolving regulations and market trends in DA account,QFII,traditional securities brokerage and asset management.

Provide leadership in regulatory reporting and governance frameworks related to Cayman funds, DA account,QFII, traditional securities brokerage and asset management.

Requirements:

Must be a qualified Responsible Officer (RO) in compliance with SFC regulations and hold SFC licenses 1, 4, and 9.

Strong Communication Skills in Chinese and English

A bachelor's degree or higher is required.

Strong knowledge of Hong Kong financial regulations, particularly SFC guidelines on traditional securities brokerage and asset management，virtual asset trading knowledge would be a plus.

Extensive expertise in compliance, risk management, and operational controls.

At least 10 years of experience in the securities and asset management industry, with preference given to candidates with securities client resources and experience in virtual asset trading.