Responsible Officer

Job Title: Responsible Officer
Contract Type: Permanent
Location: Hong Kong
Salary: SGD$180,000-SGD$240,000
Reference: DC/RO/AM/HK
Contact Name: Daniel Chay
Contact Email:
Job Published: May 28, 2020 16:53

Job Description

  • Established organization & leader in asset management and investment
  • Opportunity to perform investment transactions for organization
  • Direct reporting to Senior Management Team

Our client is an established asset management firm with headquarters in China. They are currently looking for an unconditional Responsible Officer to help ensure proper regulatory compliance with the Hong Kong SFC.

Working closely with the Senior Management Team, you will ensure regulatory compliance with SFC as the responsible officer. Ideally, you have at least 3 years of experience as a Responsible Officer and have accumulated at least 8 years of investment experience in the primary market.

To be successful in the role, you will need to be an experienced negotiator and be able to manage stakeholders in Hong Kong SFC. Ideally, you have experience in setting up the operations of an investment company in Hong Kong.  


Key Responsibilities 

  • To act as a Sole Responsible Officer to supervise the SFC regulated activities in Type 1, 4, 9 related activities
  • To manage investment portfolios and measure performance
  • To manage compliance functions to ensure comply with SFC rules
  • To implement business strategies and provide directions’
  • Implement business development and marketing plan
  • Work closely with other business functions within the organization and coordinate with HQ in China
  • To oversee the transaction business

Key Requirements

  • You must be a licensed Type 9 Responsible Officer
  • At least 6 years of experience in the financial sector
  • Investment financial background is a must
  • Ideally, you have experience more than 3 years of experience as a sole Type 9 Responsible Officer
  • Strong financial and compliance sense
  • Fluent in Mandarin, Cantonese & English


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