Job ref no.: CT3114630-01#5939

SFC Responsible Officer (RO Type 9)

Mario Recruitment Limited

  • 5-day week

My client is a newly established Asset Management firm based in Hong Kong urgently looks for a Responsible Officer Type 9 (Sole) to join their team for managing a multi-strategy fund with a diversified product portfolio (i.e Bonds, equities, derivatives…etc) with USD200-300M in AUM.

Job Duties:

  • To act as a Responsible Officer with management responsibilities and duties to supervise SFC regulated activities; to supervise trading team and liaising with operations and settlement teams;
  • Involve in daily business operations and Sales & Marketing strategies for business expansion
  • To provide discretionary fund management
  • Portfolio asset primarily includes equities (US and Asia), derivatives, futures…etc
  • Deal with SFC regarding MIC responsibilities
Job Requirements:
  • With 6+ years of solid experience in buy-side or sell-side or licensed corporations with supervising experience in Asset Management firms 
  • Relevant exposure in Discretionary Fund Management with financial market knowledge in Hong Kong, China, Asia and US
  • Experience in Sales & Marketing or Operations in Fund Management is highly preferred
  • Possess sound knowledge of SFO, SFC codes & guidelines, regulations and guidelines of relevant regulatory authorities and risk management controls.
  • Current holder of SFC Responsible Officer license in Type 9 (Sole)
  • A native or business professional level speaker of Cantonese, Mandarin or English
  • Independent, strong business acumen and look for long-term career development


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More job information
Job ref no. CT3114630-01#5939
  • N/A
Job Function
Employment Term
  • Full-time
  • 8 years
Career Level
  • Senior management level
  • Degree