Responsible Officer (Type 9) – New Business Set-Up
Core
Manage end-to-end Type 9 licensing with the SFC, draft compliance manuals and risk protocols, and advise on regulatory feasibility of investment strategies and fund structures.
Role type
Senior Responsible Officer (Type 9) for new business set-up
Builds
Compliance frameworks, risk management protocols, and new fund structures (OFC/LPF)
Domain
Financial Services / Asset Management / Regulatory Compliance
Required skills
SFC Responsible Officer status (Type 9), regulatory feasibility analysis, compliance manual drafting, risk management protocol design, fund structure advisory, trading operations supervision
Preferred skills
Point 0 setup experience, boutique asset management environment experience
Technologies
SFC regulatory systems, compliance management tools
Responsibilities
Handle end-to-end Type 9 licensing process, draft and implement compliance manuals and risk management protocols, advise on regulatory feasibility of investment strategies and fund structures, supervise daily trading and investment operations
Seniority
Senior, hands-on IC