Job ref no.: CT3118690-01#4630

SFC Type 1, 2, 4, 6 or 9 Responsible Officers (RO)

CompliancePlus Consulting Limited

  • 5-day week
  • 13-month pay
  • Dental plan
  • Discretionary bonus
  • Medical plan


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 1, Type 2, Type 4, Type 6 or Type 9 regulated activities preferred. However, current Type 1, Type 2,Type 4, Type 6 or 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 Mandarin)

Interest parties please send your full resume with expected salary and availability by clicking Apply Now


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More job information
Job ref no. CT3118690-01#4630
  • N/A
Job Function
Employment Term
  • Permanent
  • Part-time
  • Full-time
  • 3 years - 8 years
Career Level
  • Non-management level
  • Degree