Job ref no.: CT3112884-01#0246

Responsible Officer for Type (4&9)


  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan

Location: Wan Chai

Bank holiday, 14+ days AL, Discretionery Bonus, Commission, Medical, Dental, Life insurance


  • To Supervise SFC Type 4 & 9 regulated activities as a Responsible Officer;
  • Overall supervision and management of company’s operation to ensure in compliance with the Company policies, statutory rules and regulations;
  • Manage daily operations to ensure full regulatory compliance;
  • Review and approve HKSFC related filing documents;
  • Assist in all private fund projects, including fund structure set up, sales & marketing, product development;
  • Perform due diligence, investment evaluation and financial modelling for potential investees;
  • Responsible for business development, market plan and fund management activities


  • At least 3 years type 4 & 9 RO experience in portfolio management, fund operation management, investment advice, securities brokerage business or back office operations.
  • Equity portfolio management/operation/compliance experience in Asset Management firm
  • Bachelor degree or above in finance, economics or related disciplines;
  • Current license holder of Responsible Officer under the SFC for Type 4 and 9 regulated activities preferred
  • Sound knowledge of SFC, regulations and guidelines of relevant regulatory authorities and risk management control;
  • Good communication skill including written and spoken in English and Putonghua

All interested parties, please send your CV in a MS WORD format via recruit ; Attn: Ms Lui.
All information collected will be kept in strictly confidential and will be used for recruitment purpose only.

More job information
Job ref no. CT3112884-01#0246
  • 70,000 - 120,000 / month
Job Function
  • Wanchai
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Senior management level
  • Degree