Responsible Office (SFO)

Head of Operations (SFC Responsible Officer)

About Our Client

Our client is dynamic fintech company revolutionizing savings management with a focus on simplicity, transparency, and delight. Following remarkable growth in Singapore, amassing 80,000 customers in just 7 months, they are now expanding their platform to Hong Kong. Looking for a talented Head of Operations (SFC Responsible Officer) to lead the operations and fuel sustainable growth.

Key Responsibilities

Lead Operations : Act as a Responsible Officer for Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) licensed activities, overseeing daily operations, including trading, settlement, and compliance with regulatory requirements.

Ensure Compliance : Develop, implement, and monitor robust compliance policies and procedures to meet regulatory standards.

Innovate Processes : Collaborate with product and development teams to refine systems and processes for new product launches.

Drive Improvement : Partner with cross-functional teams to enhance operational performance and adapt to evolving market demands.

Strategic Leadership : Contribute to the company growth by taking on key responsibilities assigned by senior management.

Who we're looking for

Qualified Professional : Holds a degree in finance, economics, accounting, or a related field, with strong analytical and logical thinking skills.

Experienced Leader : Minimum of 10 years in financial services, including at least 3 years in a managerial role.

Regulatory Expert : Holds an unconditional SFC Responsible Officer license for Type 1, 4, and 9 regulated activities, with at least 3 years of active RO experience in the last 6 years, including Manager-in-Charge (MIC) roles for Key Lines of Business (1, 4, 9).

Business Experience : Proven expertise with retail clients and custody of client assets, specifically :

Type 1 : Marketing Collective Investment Schemes (CIS) to retail investors.

Type 4 : Advising on equity and fixed-income CIS for retail investors.

Type 9 : Managing discretionary accounts and CIS for retail investors.

Multilingual Communicator : Excellent oral and written skills in English and Cantonese.

Team Player : Strong collaboration skills, thrives under pressure, and ready to roll up their sleeves.

Fintech Enthusiast : Experience with online brokers and familiarity with SFCs Guidelines on Online Distribution is highly valued.

Retail Focused : Prior experience in retail customer onboarding and account management is a strong advantage.

What's in it for you?

Lead operations for one of Hong Kongs most exciting new fintech platforms.

Be part of a rapidly growing team reshaping the future of personal finance.

Collaborate with top fintech talent across Asia.

Make a lasting impact by redefining financial empowerment in Hong Kong.