Responsible Officer (Type 1,2,4,9) - Fintech

Product Strategy Development

• Move business objectives into actionable product roadmaps in areas such as:
• Equities, Futures, and Options Trading: (HK, US, A-shares, global futures, and options).
• Funds Distribution: (mutual funds, money market, MMF sweep).
• Wealth Management: (advisory, discretionary portfolio management (DPM), cash management).
• Collaborate with UI/UX, Product Managers, and Engineering teams to integrate compliance into product design from the outset.
• Drive pre-launch readiness, including reviews of business models, risk disclosures, user journeys, and operational setups.
• Lead internal product approval committees and contribute to go-to-market strategy discussions.
• Coordinate delivery timelines and regulatory requirements with product and R&D teams, including counterparts in Mainland China.

Regulatory & Licensing

• Represent the company in regulatory dialogues and oversee internal control processes.
• Take overall responsibility for ensuring compliance in licensed activities, with a focus on product-related compliance.
• Lead regulatory submissions to the SFC, including applications for new business lines, business plans, internal controls documentation, and change notifications.

Requirements:

• Currently licensed as a Responsible Officer under SFC Type 1/2/4 or eligible for licensing. Preference will be given to candidates with a Type 9 license.
• At least 8+ years in fintech brokerages, wealth platforms, or digital banks preferred.
• With at least 3 years in product management, strategy, or regulatory advisory for financial products in Hong Kong.
• Proven experience in leading SFC submissions and engaging with regulatory bodies.
• Familiarity with the complete product lifecycle, from ideation and launch to post-go-live compliance monitoring.