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Responsible Officer (Type 9) - Public & Alternative Fund

Hong Kong Permanent HK$1,080,000 - HK$1,320,000 per year View Job Description
As a Type 9 Ro in Hong Kong, you will take responsibility for regulated activities within a Financial Services setting. This permanent role offers a clear remit within Banking & Financial Services.
  • An established investment manager platform in Hong Kong
  • An operational new launch fund in Hong Kong

About Our Client

Established in 2017 and headquartered in Sheung Wan, Hong Kong, this boutique financial services group operates through three subsidiaries regulated by the Hong Kong Securities and Futures Commission (SFC).

The organization provides integrated financial solutions primarily for clients across Mainland China and Hong Kong, focusing on three core areas:

  • Asset Management: Holds a Type 9 license to manage portfolios and deliver risk-adjusted returns for global professional investors, family offices, corporations, and offshore funds.
  • Corporate Finance Advisory: Holds a Type 6 license to assist enterprises preparing for public listings by optimizing corporate structures and unlocking intrinsic value.
  • Investment & Securities Services: Holds Type 1 and Type 4 licenses to offer securities underwriting, placing, and tailored investment advice.



Job Description

  • SFC Supervisory & Governance Duties: Act as an SFC-approved Responsible Officer for Type 9 regulated activities, assuming regulatory oversight for fund management operations and investment governance.
  • Public & Listed Fund Operations: Oversee end-to-end middle-office workflows for SFC-authorized and listed funds, including Transfer Agency (TA), fund administration, trustee/custodian oversight, and daily/periodic NAV calculations.
  • Regulatory Filings & Compliance: Manage ongoing SFC regulatory filings, scheme changes, financial reporting, and compliance monitoring to ensure full alignment with the SFC Code on Unit Trusts and Mutual Funds (UT Code).
  • Investment Risk & Portfolio Oversight: Monitor portfolio construction, investment restrictions, liquidity risk management, and guideline compliance across public and alternative asset strategies.
  • Service Provider Management: Coordinate closely with external stakeholders, including trustees, custodians, fund administrators, auditors, and legal counsel, to maintain operational efficiency and service standards.
  • Team Leadership & Process Improvement: Lead and mentor middle-office and operations personnel while enhancing internal controls, operational workflows, and risk frameworks.



The Successful Applicant

  • SFC Licensing: Current SFC Responsible Officer (Type 9) or immediately eligible for SFC RO approval.
  • Leadership Experience: Minimum of 5 years of experience managing investment or fund operations teams at reputable financial institutions (e.g., global asset managers, leading alternative firms, major bank AM divisions, or established Hong Kong asset managers).
  • Public Fund Expertise: At least 5 years of hands-on experience operating or managing SFC-authorized funds or equivalent regulated retail structures (such as UCITS or SEC-registered funds).
  • Alternative Assets Exposure: Proven track record overseeing alternative strategies-such as private credit, private equity, real assets, or hedge strategies-within retail or public fund wrappers (strongly preferred).
  • Education & Certifications: Bachelor's degree in Finance, Economics, Accounting, or a related discipline; CFA or CAIA designation is preferred. Passed HKSI Licensing Examination Papers 1, 7, 11, and 12 (or eligible for exemption).
  • Regulatory Standing: Unblemished regulatory record with no disciplinary history from the SFC, SEC, FCA, or other financial regulators.
  • Language & Location: Business fluency or native proficiency in written and spoken English is essential (proficiency in Mandarin/Cantonese is an advantage). Must be a current Hong Kong resident.
  • Availability: Immediate availability or a short notice period is highly preferred.

What's on Offer

  • Permanent employment contract.
  • Salary of HKD 1080000 to HKD 1320000.
  • Location in Hong Kong.



Please apply to discuss this Type 9 Ro role in more detail.

Contact
Aiko Zhang
Quote job ref
JN-112026-7142542
Phone number
+852 2848 4712

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:
Permanent
Consultant name
Aiko Zhang
Consultant phone
+852 2848 4712
Job Reference
JN-112026-7142542

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.