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Type 4,9 RO （Investment Management)

Hong Kong Permanent HK$600,000 - HK$7,200,000 per year View Job Description
A reputable state-owned investment management firm is seeking an experienced Type 4 and Type 9 Responsible Officer (RO) to join its newly established Hong Kong office. This role will serve as the key liaison between the Shanghai headquarters and the firm's overseas business operations.
  • A reputable SOE background of Chinese Asset Management company
  • Steadily expanding across the region

About Our Client

A Shanghai-based, state-owned industrial and investment group with over four decades of experience in large-scale park development and operations. The firm focuses on industrial park investment, integrated enterprise services, and technology-driven industry incubation, supporting the growth of high-tech sectors including semiconductors, advanced manufacturing, and life sciences. It operates a broad portfolio of innovation parks and has built a strong ecosystem combining capital, industry resources, and government-backed strategic initiatives, playing a key role in regional economic development and cross-border investment activities.

Job Description

Key Responsibilities

  • Act as Responsible Officer for Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities
  • Ensure full compliance with SFC regulatory requirements, codes, guidelines, and ongoing licensing obligations
  • Maintain and enhance internal compliance frameworks, policies, and procedures
  • Serve as the primary point of contact with the Securities and Futures Commission (SFC)



Business & Operational Management

  • Oversee the day-to-day operations of the Hong Kong asset management business
  • Support business strategy execution, including product development and distribution initiatives
  • Ensure robust risk management and internal control processes are in place



Cross-border Collaboration

  • Work closely with Shanghai headquarters to align on investment strategy, governance, and reporting
  • Facilitate effective communication and coordination between Hong Kong and Mainland teams
  • Provide regulatory guidance on cross-border business activities



Governance & Reporting

  • Participate in board-level discussions and provide regulatory updates
  • Ensure timely regulatory filings and reporting obligations are met
  • Oversee audits, inspections, and compliance reviews

The Successful Applicant

Experience & Qualifications

  • Current or eligible to be approved as a Responsible Officer for Type 4 & Type 9 activities under the SFC
  • Minimum 8-10+ years of experience in asset management, securities firms, or financial institutions
  • Proven experience in Hong Kong regulatory compliance and SFC engagement



Technical Skills

  • Strong understanding of SFC regulations, fund structures, and asset management operations
  • Familiarity with cross-border investment frameworks between Mainland China and Hong Kong is highly preferred
  • Experience in setting up or scaling a licensed entity is a plus



Personal Attributes

  • Strong leadership and stakeholder management skills
  • Ability to operate in a growing, entrepreneurial environment
  • Detail-oriented with strong risk awareness and commercial judgment



Language

  • Fluent in English and Mandarin (spoken and written)

What's on Offer

  • Opportunity to play a foundational leadership role in a growing Hong Kong platform
  • High visibility with senior stakeholders across Hong Kong and Shanghai
  • Dynamic, entrepreneurial culture with strong backing from an established Mainland investment platform
Contact
Aiko Zhang
Quote job ref
JN-062026-7043149
Phone number
+852 2848 4712

Job summary

Function
Banking & Financial Services
Specialisation
Operations / Middle Office - Asset Management
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-062026-7043149

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.