Responsible Officer (RO) Part Time

Headland JCH Business Consultant; Hong Kong; On-site; HKD 551,000 - 964,000; Part time

Job summary

Headland JCH Business Consultant is seeking a part-time Responsible Officer (RO) to lead SFC Type 4 and 9 applications. The role involves applying for licenses, then overseeing daily operations in compliance with SFC rules, and coordinating with regulators on filings.

The ideal candidate holds current SFC RO licenses for Type 4 and 9, with management experience and strong research capabilities.

Qualifications

• Current RO with at least 2 years of management experience.
• Discretionary portfolio management experience within 5 years.
• Experience in investment research, new fund setup and fund management.
• Holder of SFC RO license for Type 4 and 9 activities; MIC roles.
• Clean regulatory record with the SFC; no past reprimands.

Responsibilities

• Serve as RO Type 4, 9 RO / ED in SFC new application
• Manage daily operations after license approval in compliance with SFC regulations
• Supervise SFC regulated activities, liaise with regulators and file relevant SFC applications

Skills

RO license Type 4/9

Portfolio management

Investment research

Fund setup

Regulatory compliance

Job description

Our client is looking a new set up company and is looking for a part time RO who can help apply sfc license Type 4 &9

Key responsibilities

• Serve as RO Type 4, 9 RO / ED in SFC new application
• After license approval, managing daily operations in compliance with SFC regulations
• Supervise the firm's SFC regulated activities, liaise with SFC regulators and file / submit relevant SFC applications

Requirements

• Current RO , with min 2+ year of management experience
• Good discretionary portfolio management experience within 5 years
• Good experience in investment research, new fund set up and fund management
• Current holder of SFC RO license for Type 4, 9 regulated activity and involved in MIC roles
• Clean record with the SFC with no reprimands in the past