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Open nowFirst seen 5 days ago

Responsible Officer, SFC 4,9 Virtual Asset uplift, New Fund Set Up

King Deux Search & Consulting348 open roles

Where
Hong Kong, Hong Kong SAR, Hong Kong
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Your applicationOpen nowResponsible Officer, SFC 4,9 Virtual Asset uplift, New Fund Set UpKing Deux Search & Consulting · Hong Kong, Hong Kong SAR, Hong Kong

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This job: first seen 5 days ago

The posting

King Deux Search & Consulting is a specialised executive search firm which offers bespoke talent solutions across financial services and commerce. We are committed to not only finding the right opportunity for our candidates but also leaving a legacy that lives on beyond the hiring process.

Follow us at https://www.careers-page.com/kingdeux for updates on the exceptional clients we represent. Stay up-to-date on industry news and get your career consultation scheduled at kingdeux.com

About Your Company

Our client is a prominent and well-capitalized Chinese financial group with an established presence in Hong Kong. As part of a strategic global expansion, the group is aggressively scaling its Hong Kong licensed entity. We are establishing a brand-new Type 9 fund management infrastructure and embarking on a regulatory upgrade to lift licensing conditions for Virtual Assets (VA) and Full Custody (holding client assets).

To lead this transformation, we are seeking an entrepreneurial and highly experienced Senior Responsible Officer (RO) for Type 4 and Type 9 regulated activities to spearhead the regulatory applications, manage the investment operations, and oversee a growing team of 20+ professionals.

About your role

1. Regulatory Uplift & Fund Setup (Project Leadership)

  • SFC Uplift Applications: Lead the end-to-end regulatory process to uplift existing Type 4 and Type 9 licenses, specifically focusing on the removal of the 10% Virtual Asset investment restriction (VA Uplift) and obtaining authorization to hold client assets (Full Custody).
  • New Entity/Structure Setup: Oversee the structural, operational, and regulatory setup of the new Type 9 fund management business line.
  • SFC Liaison: Act as the primary point of contact with the Securities and Futures Commission (SFC), managing inquiries, submissions, and ongoing regulatory reporting for the new initiatives.

2. Portfolio Management & Business Expansion

  • Investment Oversight: Provide executive supervision over the firm’s core Private Equity (PE) and Alternatives Fund of Funds (FoF) investment strategies.
  • VA Strategy Integration: Assist in shaping the governance and risk framework for the firm's expansion into virtual asset fund management (e.g., spot/derivative VA funds, tokenized assets).
  • Group Synergy: Collaborate closely with the Mainland parent group to align cross-border investment mandates, QFLP/QDIE structures, and outbound capital allocations.

3. Operational Governance & Risk Management

  • Custody & Client Assets: Establish robust operational workflows, internal controls, and compliance procedures to satisfy the SFC’s strict Client Asset Rules (CAR) and Financial Resources Rules (FRR) post-custody uplift.
  • Supervision: Assume overall legal and operational responsibility for the firm’s regulated activities, ensuring all business practices strictly adhere to the SFC Code of Conduct.
  • Team Leadership: Mentor and manage a local team of ~20 professionals across investment, compliance, and operations, fostering a culture of rigorous compliance and high performance.

What you will need to succeed

Experience & Licensing

  • SFC Status: Currently approved (or eligible for immediate re-approval) by the SFC as an unconditional Responsible Officer (RO) for Type 4 and Type 9 regulated activities.
  • Track Record: Minimum of 8–10 years of experience in asset management, with a proven track record in Private Equity, Alternatives, or Fund of Funds (FoF).
  • Uplift/Setup Exposure: Direct, hands-on experience dealing with the SFC on complex licensing matters, such as new fund setups, licensing condition modifications, or VA/crypto-related business uplifts.
  • VA Framework Knowledge: Deep familiarity with the SFC’s Joint Circulars on virtual asset-related activities, Proforma Terms and Conditions for VA managers, and the HK VATP/stablecoin regulatory landscape.

Skills & Qualifications

  • Education: Bachelor’s degree or higher in Law, Finance, Economics, or a related STEM/Quantitative discipline from a reputable university. Advanced degrees or professional certifications (CFA, CAIA) are highly advantageous.
  • Language Proficiency: Fluency in Mandarin and English (both written and spoken) is mandatory, given the extensive communication required with the mainland parent group and local regulators.
  • Leadership Style: Strong leadership and project management capabilities, with the agility required to thrive in a boutique, high-growth environment (~20 people) backed by corporate resources.

How to Apply

Interested parties, please send your CV directly to [email protected] or apply directly.

Please note that only shortlisted applicants will be contacted.

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