Responsible Officer – SFC Type 9

About the role

Act as the Type 9 Responsible Officer and provide oversight across the asset management business and ensuring full compliance of the company's asset management operations.

Key responsibilities

• Ensure adherence to regulatory requirements and internal compliance policies in line with SFC standards
• Provide compliance support for fund formation, cross-border investments, and investment structuring, including offshore fund structures in Cayman Islands, Luxembourg, and other jurisdictions
• Ensure full compliance with the Securities and Futures Ordinance (SFO), SFC Codes of Conduct and applicable guidelines, and handle regulatory filings, inspections and communications
• Establish and oversee internal controls, compliance, anti-money laundering (AML/CFT) and product suitability frameworks and procedures
• Supervise account-opening processes, investment advice and trade order execution to ensure compliant operations
• Develop and maintain investor relationships including sovereign funds, pension funds, funds of funds (FOF), family offices, insurance asset management, private banks, and high-net-worth clients.

Job Requirements:

• Bachelor’s degree in Finance, Economics or related field;
• Able to be appointed as SFC Type 9 Responsible Officer.
• 7+ years of relevant experience in asset management with solid knowledge of operations, compliance, and risk management.
• Experience managing private credit, private equity, multi-asset, or alternative investment strategies.
• Existing relationships with institutional investors, family offices, or distribution channels would be an advantage.
• Independent, self-motivated, well-organized and detail-oriented, with the ability to work under tight deadlines and a strong sense of responsibility.

Interested candidates please send a full resume, expected salary, and available date via Apply Now or send your application to the email address showing in the Company Description.

All information received will be kept confidential and will be used only for recruitment purposes.