The client is seeking a senior leader to serve as Head of ETF / Director of ETF, responsible for governance, regulatory compliance, and operational integrity for its Exchange Traded Funds (ETFs) and other SFC-authorized public funds. The role will act as a Responsible Officer for Type 9 (Asset Management), providing regulatory oversight, ensuring adherence to the SFC regulatory regime, and supporting the strategic development of the ETF franchise. This position is expected to leverage deep knowledge of Hong Kong public fund regulations and hands-on experience managing SFC requirements.
Key responsibilities include serving as the Responsible Officer for day-to-day oversight of the asset management business and fulfilling all applicable RO responsibilities under the SFO. The role will lead ETF governance frameworks, including portfolio management processes, pricing mechanisms, index methodologies, and liquidity monitoring, while ensuring ETFs, unit trusts, OFCs, and other SFC-authorized public funds comply with relevant codes and conduct requirements. The position will also manage regulatory filings, notifications, and approvals with the SFC and HKEX, oversee creation/redemption and market transaction compliance, monitor operational risks and key trading factors such as tracking error and liquidity, and review and approve offering and listing-related documents and regulatory disclosures.
The successful applicant will maintain robust AML/CFT and internal control frameworks, support investor due diligence and sanctions screening, and ensure compliance with CRS/FATCA requirements through periodic internal control reviews. The role will engage with service providers and stakeholders such as custodians, trustees, fund administrators, auditors, market makers, and index providers to ensure consistent adherence to regulatory and operational standards. It will provide expert regulatory advisory on ETF structuring, product design, distributions, index licensing, and corporate actions, and will partner with senior management to advance the ETF strategy, lead regulatory discussions, and represent the firm in industry or regulatory dialogues, supported by hands-on experience with SFC-authorized public funds and strong working knowledge of core HK regulatory requirements.