Responsible Officer (Type 1)

Job Description

We are seeking an experienced and compliance-driven Responsible Officer (RO) to independently oversee our SFC Type 1 regulated activities. Key Responsibilities: • Regulatory Oversight: Independently manage and supervise all ongoing SFC Type 1 securities dealing and brokerage activities, ensuring full alignment with SFC ordinances and circulars. • Compliance & Risk Management: Monitor daily business conduct to proactively identify regulatory gaps and enforce robust compliance frameworks across front-office trading, client dealing, and operations. • AML/CFT Frameworks: Maintain and enhance rigorous AML/CFT, Travel Rule, sanctions screening, and transaction monitoring systems for both traditional and virtual asset businesses. • Licensing & Applications: Lead the execution of the firm’s SFC Type 1 VA Dealing Uplift application; prepare comprehensive licensing documentation, respond to SFC queries, and coordinate review procedures. • Post-Licensing Execution: Support post-licensing implementation, including gap remediation and the fulfilment of regulatory conditions. • Regulatory Liaison: Serve as the primary point of contact for SFC inspections, onsite reviews, regulatory enquiries, and supervisory meetings. Show More