Responsible Officer (SFC Type 4 & 9)

Responsible Officer (SFC Type 4 & 9) – Full-Time

Company Overview

Polo Elite Capital Limited is an asset management firm headquartered in Central, Hong Kong, specializing in investment advisory and discretionary portfolio management. As we strategically expand our corporate presence and investment capabilities, we are seeking a seasoned financial professional to join our executive team as a Full-Time Senior Responsible Officer (SFC Type 4 & 9).

Key Responsibilities

• Regulatory Governance & Leadership: Serve as a Full-Time Responsible Officer (RO) to oversee SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities, maintaining strict adherence to the Securities and Futures Ordinance (SFO).
• Infrastructure & Compliance Setup: Design, establish, and continuously enhance internal control systems, operational policies, risk frameworks, and compliance manuals tailored for a growing firm.
• Strategic Executive Advisory: Partner with senior management and the Board of Directors to deliver strategic advice on regulatory requirements, market trends, and operational impacts of industry changes.
• SFC Relationship Management: Lead all communication and liaisons with the SFC, including handling licensing updates, regulatory filings, routine inspections, and statutory inquiries.
• Operational & Fiduciary Oversight: Supervise daily investment operations, portfolio management activities, and AML/KYC processes to ensure corporate governance and compliance standards are maintained.

Candidate Requirements

• Mandatory Licensing: Currently qualified and registered with the SFC as an Unconditional Responsible Officer for Type 4 and Type 9 regulated activities.
• Senior Industry Experience: Minimum 5 to 8+ years of relevant experience within asset management, wealth management, or financial institutions, accompanied by a clean regulatory record.
• Startup / Firm Setup Experience (Highly Preferred): Demonstrated experience in establishing, structuring, or managing compliance operations within a startup investment firm or boutique fund is a strong advantage.
• Regulatory Expertise: In-depth, practical mastery of the SFO, SFC Codes of Conduct, AML/CTF guidelines, and the Hong Kong financial regulatory landscape.
• Leadership & Professional Ethics: Excellent strategic judgment, executive presentation skills, and high standards of integrity.
• Language Proficiency: Fluency in written and spoken English and Chinese (Cantonese and/or Mandarin).

Position Summary

• Role: Full-Time Senior Responsible Officer (SFC Type 4 & 9)
• Location: Prime Corporate Office in Central, Hong Kong
• Working Schedule: Standard full-time business hours

How to Apply

Interested candidates are invited to submit a detailed curriculum vitae outlining licensing history, relevant setup experience, and earliest availability.

Polo Elite Capital Limited is an equal opportunity employer. All applications will be treated in strict confidence and used solely for recruitment purposes.