Description

Core Objectives

Act as Responsible Officer overseeing the company's virtual asset trading platform operations in Hong Kong.

Ensure all activities, including digital asset trading, custody, and investment management, comply with SFC, AMLO, and other regulatory requirements.

Take a leading role in establishing a robust compliance and risk management framework for online and app-based trading platforms.

Key Responsibilities

Regulatory Compliance and Licensing

• Oversee the company's compliance with the Securities and Futures Commission (SFC) and Hong Kong Virtual Asset Trading Platform (VATP) regulatory framework.
• Ensure all operations and offerings align with Type 1 (Dealing in Securities), Type 7 (Providing Automated Trading Services), and Type 9 (Asset Management) requirements.
• Act as primary contact point with the SFC and relevant regulatory bodies.
• Implement policies on client onboarding (KYC/AML/CTF), risk disclosure, and transaction monitoring.

Platform and Product Oversight

• Supervise operations of the web and mobile trading platform to ensure compliant design and functions.
• Review virtual asset listings, trading pairs, and custody arrangements to ensure compliance with regulatory and internal risk standards.
• Coordinate with technology teams to ensure system integrity, data protection, and audit trails are properly maintained.
• Oversee wallet management, private key controls, and safeguarding of client assets.

Risk & Operations Management

• Establish and maintain compliance manuals, operational guidelines, and risk control procedures for virtual asset trading.
• Monitor market abuse, wash trading, fraud, and conflicts of interest.
• Ensure real-time trade surveillance and transaction reporting mechanisms are in place.
• Lead investigations into any suspicious or irregular trading activities.

Internal Governance and Reporting

• Provide regular updates and compliance reports to the board and senior management.
• Train internal staff on SFC regulations, virtual asset compliance, and responsible trading practices.
• Coordinate with Legal, Risk, and IT teams to ensure consistent compliance awareness across departments.

Qualifications

• Bachelor's degree or above in Finance, Law, Accounting, or related disciplines.
• At least 5-8 years of experience in virtual asset / crypto trading.
• Prior approval or eligibility to act as Responsible Officer (RO).
• Deep understanding of virtual asset trading mechanisms, blockchain technology, and exchange operations.
• Strong familiarity with SFC's VATP Guidelines, AML/CTF Ordinance, and Securities and Futures Ordinance.
• Proven ability to lead compliance setup for web-based trading platforms.
• Excellent command of English and Chinese (Mandarin and/or Cantonese).