Responsible Officer (RO) – SFC Type 6

Job Responsibilities

1.      Serve as the Responsible Officer (RO) for Type 6 regulated activity (advising on corporate finance) under the Hong Kong Securities and Futures Commission (SFC).

2.      Assist in establishing and enhancing the business structure, compliance framework, internal controls, and operational procedures relating to Type 6 regulated activity.

3.      Participate in communications with the SFC and support the licence ongoing regulatory compliance matters.

4.      Provide professional advice on corporate finance, financial advisory, compliance, and regulatory matters.

5.      Responsible for assessing potential deals, executing corporate finance transactions, conducting due diligence, preparing pitch books and documentation.

6.      Supervise and manage the day-to-day operation of the Type 6 regulated activity and ensure compliance with the Securities and Futures Ordinance, applicable codes of conduct, and SFC regulatory requirements.

Requirements

1.      Minimum 5 years of proven experience acting as an active SFC Responsible Officer Type 6 RO.

2.      Degree holder in Business Administration, Finance or other business-related disciplines.

3.      Solid experience in Hong Kong corporate finance, financial advisory, or investment banking.

4.      Familiar with the SFC’s regulatory requirements applicable to Type 6 licensed corporations, and corporate finance business.

5.      Strong compliance mindset, risk control awareness, and regulatory communication skills.

6.      Possess strong professional integrity, sense of responsibility, and team spirit.

7.      Good command of both written and spoken Chinese and English.

About AP Family Office

AP Family Office is a multi-family office that blends global financial expertise with deep-rooted values of “Family First.” We are more than advisors – we are partners in shaping the future of families. We specialize in providing family office services to private Ultra-High-Net-Worth (UHNW) clients. Our major clients include wealthy families, fund managers, and senior management of listed companies in Asia.