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Responsible Officer - Type 9 Asset Management

Hong Kong Temporary HK$50,000 - HK$65,000 per month (HK$600,000 - HK$780,000 per year) View Job Description
Act as a Responsible Officer (RO) for an SFC Type 9 licensed corporation, ensuring compliance with SFC regulatory requirements and overseeing asset management activities. Provide regulatory oversight and governance support, including compliance monitoring, internal controls, risk management, and policy implementation for SFC Type 9 Asset Management Startup.
  • Fast-Growing SFC Type 9 Asset Management Startup
  • Lead Compliance & Governance in a Growing Startup

About Our Client



Our client is a Hong Kong-based start-up asset management firm holding an SFC Type 9 (Asset Management) licence, focused on delivering investment management solutions across Hong Kong and Greater China. The firm is building its presence in the market with a strategic focus on Hong Kong and Mainland China, offering for Responsible Officer (RO) to join at a pivotal stage of growth and development

Job Description

  • Ensuring compliance with local regulatory requirements and industry standards.
  • Supervising the daily operations of banking and financial services activities.
  • Providing guidance on risk management and internal control measures.
  • Preparing and submitting regulatory filings and reports.
  • Monitoring and improving compliance frameworks and policies.
  • Conducting regular audits to ensure adherence to procedures.
  • Acting as the primary contact for regulatory bodies and external auditors.
  • Training staff on compliance and regulatory requirements.

The Successful Applicant

  • Bachelor's Degree holder of business administration or relevant discipline
  • Current SFC Type 9 RO holder, at least 5 years of working experience within Hong Kong asset management, fund management, investment management, securities, or regulatory compliance.
  • Solid working experience in supervisory, compliance, risk-management, or senior management responsibilities within an SFC-licensed corporation or financial institution.
  • Strong attention to detail, technical skills with clear and logical manner
  • Work collaboratively with team member
  • Strong quick learning ability to understand policies, procedures, systems, process and controls
  • Excellent of written and verbal communication skills in English and Chinese

What's on Offer

  • Competitive remuneration package
  • Dynamic working environment
Contact
Michelle Leung
Quote job ref
JN-072026-7071762
Phone number
+852 3602 2489

Job summary

Function
Banking & Financial Services
Specialisation
Operations / Middle Office - Banking / Securities
What is your area of specialisation?
Financial Services
Location
Hong Kong
Job Type:
Temporary
Consultant name
Michelle Leung
Consultant phone
+852 3602 2489
Job Reference
JN-072026-7071762

Diversity & Inclusion at Michael Page

We don't just accept difference - we celebrate it. We encourage applicants from all backgrounds to apply for this role and are committed to building inclusive, diverse workplaces where everyone can thrive. If you require any support or reasonable adjustments during the recruitment process, please let us know.