Save Job Back to Search Job Description Summary Similar JobsA reputable Asian Financial InstitutiosnUnique Combination of Banking and Investment Banking CapabilitiesAbout Our ClientOur client is a well-established Asian financial institution with a long-standing presence in Hong Kong and an active principal investment platform. As part of an existing team structure, the firm is seeking an experienced Type 9 Responsible Officer to join its Hong Kong business. This is a replacement hire and presents an opportunity to step into a mature investment platform with established governance, investment processes, and institutional backing.Job DescriptionAct as a Responsible Officer for Type 9 (Asset Management) regulated activities.Provide regulatory oversight and ensure compliance with all applicable SFC rules and requirements.Oversee the governance, compliance, risk management, and control framework supporting the investment platform.Work closely with senior management on regulatory, operational, and business matters.Liaise with regulators, auditors, legal counsel, and external service providers.Monitor investment management processes and ensure adherence to internal policies and regulatory standards.Support regulatory filings, inspections, audits, and ongoing compliance reviews.Advise on regulatory implications relating to investment activities, business initiatives, and strategic projects.Contribute to maintaining a strong control environment across the investment platform.The Successful ApplicantCurrent or previous SFC-approved Type 9 Responsible Officer.Ideally eligible to act as an Executive Officer (EO).10+ years of relevant experience gained within asset management firms, investment platforms, banks, securities houses, family offices, private equity firms, or similar financial institutions.Strong understanding of Hong Kong SFC regulations, governance standards, and asset management operations.Experience overseeing discretionary investment activities and regulated investment management businesses.Sound judgement, strong stakeholder management skills, and the ability to engage effectively with senior management and regulators.Fluent English required; Chinese language skills would be advantageous.Preferred ProfileExperience gained within banking, principal investments, private equity, family office, or institutional investment environments.Familiarity with public and private market investments.Strong track record in regulatory oversight, governance, risk management, and compliance matters.Commercial mindset with the ability to partner effectively with investment teams while maintaining appropriate controls.As this is a replacement hire for a key regulated position, candidates with immediate availability (or who can join within 1 month) are strongly preferred.What's on OfferJoin a reputable and financially strong Asian institution.Step into an established and well-supported investment platform.High-profile role with direct exposure to senior management and key decision makers.Long-term career opportunity within a stable and growing organization.ContactAiko ZhangQuote job refJN-072026-7073815Phone number+852 2848 4712Job summaryFunctionBanking & Financial ServicesSpecialisationPortfolio / Fund / Asset ManagerWhat is your area of specialisation?Financial ServicesLocationHong KongJob Type:PermanentConsultant nameAiko ZhangConsultant phone+852 2848 4712Job ReferenceJN-072026-7073815
