Responsible Officer (Type 4 & 9)

We are currently looking for an experienced Responsible Officer (“RO”) for our client, a newly incorporated company in Hong Kong, to support their upcoming SFC Type 4 and Type 9 license applications.

RESPONSIBILITIES

l   Serve as a core RO to provide strategic oversight and fulfill regulatory governance requirements for Type 4 and Type 9 regulated activities.

l   Participate in periodic board, investment, or management committee meetings to supervise core business operations and risk management frameworks.

l   Provide high-level regulatory advice, review critical policies, and sign off on major compliance or operational matters when escalated.

l   Handle regulatory inquiries, liaise with the SFC and relevant authorities as required, and ensure ongoing alignment with the Securities and Futures Ordinance.

l   Handle ad-hoc tasks.

REQUIREMENTS

l  Currently approved by the SFC as a RO for Type 4 and Type 9, OR a currently Licensed Representative who fully meets the RO competency requirements (e.g., meeting the 3 years of relevant industry experience over the past 6 years).

l  Must have solid product experience in fund management over the past 6 years.

l  Good command of written and spoken Mandarin, Chinese and English.