Responsible Officer (Type 1 and 9; or Type 4 and 9)

Our client, is a fast growing Financial Services Institution with investment bank, private equity and asset management biz in Greater China region. The group is a listed company in Hong Kong and they want to develop their asset management biz in Hong Kong.  So they are looking for a high calibre candidate to fill up the following position:



  • Diploma or Degree in related discipline
  • At least 5 years relevant experience in Securities firm
  • Solid experience in new company setting
  • Qualified for SFC Responsible Officer license Type 9 is must, Type 1 and 4 are highly preferred
  • Able to work under pressure, with strong communication and analytical skills
  • Good command of written & spoken Chinese and English, including Putonghua



  • Responsible for apply type 9 license for the firm
  • Responsible for the monitoring of the daily business operations to ensure full regulatory compliance
  •  Assist in formulating investment strategy and oversee asset investment or transaction of the company or clients
  • Oversee the compliance functions of the Company and take necessary actions to ensure all business activities comply with SFC rules and company guideline
  • Engage in promotion and marketing activities
  • Handle any other ad-hoc duties as required

If you are interested in finding out more about this career opportunity, please email your resume to Angela LI, Tel: (852) 3151 1320 Web:


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