Published 3 weeks ago

SFC Responsible Officer (Type 1, 4&9)

Job Gallery Consultancy Limited

Job Description

Our client, an asset management institution in Hong Kong, is currently seeking for talents to join their team.

Our recruitment consultants will provide tailor-made advices for individual job seeker.

Summary:

As a Responsible Officer, you will be responsible for overseeing and managing our firm's asset management business, ensuring compliance with relevant regulatory requirements, managing risks, and maintaining a high level of integrity and professional standards.

Key Responsibilities:

  • Act as the primary Responsible Officer (RO) licensed by the Hong Kong Securities and Futures Commission (SFC), with direct accountability for 1, 4 & 9 regulated activities.
  • Ensure daily business operations comply with Hong Kong SFC and/or other regulatory requirements in different markets;
  • Conduct investment research and analysis, fund management and regular review of the investment portfolios;
  • Manage the portfolio risks in accordance to the mandate and risk control guidelines;
  • Strengthen relationships with existing clients and lead the development of client base and operation;
  • Handle any other ad-hoc duties as required by the Board.

Requirements:

  • Holder of Bachelor degree or above in Finance, Economics, Finance or related discipline(s).
  • Minimum 3 years of relevant experience in the financial services industry, with in-depth knowledge of SFC regulations.
  • Good Knowledge of Cayman SPC & Hong Kong LPF Structure and Operations.
  • Strong self-motivation, multitasking abilities, ability to work under pressure, along with strong analytical, leadership, presentation and interpersonal skills;
  • Proficiency in both written and spoken English, Cantonese and Mandarin.
  • Experience in managing virtual asset fund will be given priority.

Personal data collected will be used for recruitment purpose only.

Our client offers successful candidates an attractive remuneration package, comprehensive benefit package and excellent career prospects. Interested parties please send your resume with covering letter in MS Word format, stating notice period, current or last and expected salary to [email redacted, apply via company website] cc [email redacted, apply via company website], quoting the position and reference number (if any).

Job Particulars

Job source
CTgoodjobs
Job reference
3154127-01#0001
Date published
10 Nov 2025
Job keywords
Banking / Finance - Fund Management, Banking / Finance - Investment, Banking / Finance - Order Processing / Operation / Settlement, Banking / Finance - Risk Management, Financial Services, Central, Full-time, Senior management level, Degree, Accountability, Analytical, Asset Management, Business Operations, Compliance, Economics, Finance, Fund Management, Funding, Interpersonal Skills, Investment, Investment Research, Leadership, Mandarin, Multitasking, Regulatory, Responsible Officer, Risk Control, SFC, Security, Spoken English, Statistical Process Control (SPC)
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