Job ref no.: SFCTRO/YY100119 (CT3118690-01#4888)

SFC Type 9 Responsible Officers (RO)

Charterhouse Partnership

  • 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, by clicking Apply Now Tel: (852) 3151 1320 Web:

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More job information
Job ref no. SFCTRO/YY100119 (CT3118690-01#4888)
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 3 years - 8 years
Career Level
  • Senior management level
  • Degree