Responsible Officer (Type 9 License) - Virtual Assets Focus

About Our Client:

A dynamic, newly established Asset Management firm in Hong Kong, licensed for Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management). As they expand their operations, they are seeking a highly qualified Responsible Officer to lead the application process for their Type 9 license, with a strong emphasis on virtual assets.

The Role

This is a pivotal position where you will serve as the Responsible Officer (RO) for the firm's Type 9 license application and ongoing compliance. You will play a key role in shaping the firm's asset management strategies, particularly in the innovative space of virtual assets (e.g., cryptocurrencies, blockchain-based investments, and digital tokens). Reporting directly to senior management, you will ensure regulatory adherence while driving business growth in this rapidly evolving sector.

Key Responsibilities:

• Lead and manage the application process for the Type 9 license with the Securities and Futures Commission (SFC) in Hong Kong, including preparation of documentation, liaising with regulators, and addressing any queries.
• Oversee compliance frameworks, risk management, and internal controls related to asset management activities, with a focus on virtual assets.
• Develop and implement policies for virtual asset management, ensuring alignment with SFC guidelines on virtual asset fund managers (VAFMs) and related regulations.
• Conduct due diligence on virtual asset investments, monitor market trends, and provide strategic advice to the firm.
• Collaborate with legal, operations, and investment teams to integrate virtual assets into the firm's portfolio offerings.
• Stay abreast of regulatory developments in virtual assets and ensure the firm's practices remain compliant and forward-thinking.

Ideal Candidate Profile:

• Licensed as a Responsible Officer under the SFC for Type 9 (Asset Management), or eligible to apply, with a proven track record in similar roles.
• Extensive knowledge and hands-on experience in virtual assets, including cryptocurrencies, tokenized assets, DeFi, or blockchain technologies.
• Minimum 5-7 years of relevant experience in asset management, preferably within a licensed firm handling virtual or alternative assets.
• Strong understanding of Hong Kong's regulatory environment, including SFC requirements for virtual asset service providers (VASPs) and anti-money laundering (AML) protocols.
• Bachelor's degree in Finance, Law, Business, or a related field; professional qualifications (e.g., CFA, FRM) are advantageous.
• Fluency in English and Cantonese/Mandarin is preferred.