Type 1. 4,9 RO (for VA license application)

Regulatory Oversight & Responsible Officer Duties

• Serve as Responsible Officer for Type 1, Type 4 and Type 9 regulated activities.
• Ensure full compliance with the Securities and Futures Ordinance (SFO), Codes of Conduct, Fund Manager Code of Conduct and all applicable SFC regulations.
• Act as the principal liaison with the Securities and Futures Commission (SFC).
• Oversee licensing maintenance, annual returns, notifications, inspections and regulatory examinations.
• Supervise all regulated activities and ensure appropriate controls, governance and management oversight.
• Review and approve regulated business activities, marketing materials, client agreements and investment documentation.

Virtual Asset Licensing & Regulatory Development

• Lead the firm's Virtual Asset regulatory strategy and licensing roadmap.
• Work closely with external legal counsel, compliance consultants and regulators on licensing applications and regulatory engagements.
• Develop governance, risk management and compliance frameworks for Virtual Asset-related activities.
• Advise management on SFC requirements relating to:
• Virtual Asset dealing
• Virtual Asset advisory services
• Tokenized products
• Digital asset fund management
• Institutional digital trading businesses
• Maintain awareness of evolving Hong Kong and international digital asset regulations.

Business Expansion & Strategic Growth

• Partner with the executive team to identify and launch new regulated business initiatives.
• Assess regulatory implications of new products and services.
• Participate in strategic planning, M&A evaluations and regional expansion projects.
• Support institutional client acquisition and development efforts.
• Provide regulatory guidance to business units in Hong Kong and Greater China.

Risk Management & Governance

• Establish and maintain enterprise-wide compliance and risk management frameworks.
• Ensure compliance with:
• AML/CFT requirements
• KYC/CDD/EDD obligations
• Client asset protection rules
• Financial Resources Rules (FRR)
• Present risk and compliance matters to senior management and the Board.
• Lead regulatory reviews, audits and remediation projects.

Team Leadership

• Build and manage compliance, risk and regulatory affairs functions.
• Conduct training programs to enhance regulatory awareness across the organization.
• Mentor licensed representatives and management personnel.
• Foster a strong compliance culture that supports sustainable business growth.