SFC Type 9 Responsible Officers (RO)

Job details

Location: Hong Kong
Job Type: Permanent
Reference: Ref: SFCTRO/YY100119
Posted: almost 3 years ago

Job description

  • Good working environment
  • Transparent promotion way
  • Attractive salary package

Key Responsibilities:

  • Assist in SFC license application in preparing and setting up process, operations and infrastructure of the firm 
  • Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm 
  • Manage daily operations to ensure full regulatory compliance
  • Comply with all applicable laws, rules and regulations and standard of good market practices


  • Minimum 3 years of solid experience in asset management relating to portfolio management and fund management in any one of the areas: research, proprietary trading (with discretion), private equity, special situations and dealing with alternative investments.
  • Current holder of SFC unconditional Responsible Officer license for  Type 9 regulated activities preferred. However, current Type 9  Representatives will also be considered if they have the abovementioned experiences.
  • Retail (public) fund experience a big plus
  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
  • Solid understanding about middle and back office operations, risk controls and investment process of fund management companies 
  • Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
  • Good command of written & spoken English and Chinese (including fluency of Mandarin)

If you are interested in finding out more about this career opportunity, please email your resume to Yifan Yan, yifan.yan@ Tel: (852) 3151 1320 Web:

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