Responsible Officer (SCF Type 4 & 9)

QRC Asset Management Limited; Hong Kong Island; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

QRC Asset Management Limited is seeking a Responsible Officer (SFC Type 4 & 9) to join our team on a full-time basis in Hong Kong. The RO will oversee SFC obligations and ensure robust governance across the organisation.

Key responsibilities include approving account openings, overseeing LPF management and discretionary portfolios, monitoring risks, and managing regulatory filings and compliance policies to maintain our regulatory standing.

Qualifications

• Qualified and approved by the SFC as RO for Type 4 & 9.
• Experience in regulated financial services with SFC compliance exposure.
• Knowledge of AML/KYC/CDD procedures.
• Ability to develop and implement compliance frameworks.

Responsibilities

• Act as the designated RO for SFC Type 4 & 9 regulated activities.
• Approve account opening applications and maintain required documentation.
• Oversee LPF management and Discretionary Portfolio Management.
• Monitor investment portfolio risks and report breaches to regulators.

Skills

SFC RO approval

Regulatory compliance

AML/KYC/CDD

Governance

Risk management

Regulatory reporting

Job description

QRC Asset Management Limited is seeking a Responsible Officer (SFC Type 4 & 9) to join our team on a full-time basis. This is a strategic administrative and compliance-focused role located in Hong Kong. As Responsible Officer, you will serve as a key compliance and governance professional, overseeing Securities and Futures Commission (SFC) obligations for Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities. This position is essential to maintaining our regulatory standing and ensuring the highest standards of corporate governance across the organisation.

Key responsibilities

Acting as the designated Responsible Officer for SFC Type 4 & 9 regulated activities in accordance with all applicable regulatory requirements.

Approving account opening applications, ensuring all required information and documents are provided, and making notes of any special requirements.

Overseeing the daily operations and compliance of Limited Partnership Fund (LPF) management and Discretionary Portfolio Management.

Monitoring investment portfolio risks and receiving reports from the independent risk management function regarding any breaches of investment constraints.

Ensuring the company adheres to the "non-holding client assets" regulatory condition and supervising all asset security mechanisms operated through independent third-party custodians.

Managing regulatory filings, documentation, and correspondence with the SFC and relevant authorities.

Developing, implementing, and maintaining compliance policies and procedures aligned with regulatory standards.

Conducting regular compliance reviews and risk assessments across the organisation.

About you

Relevant professional qualifications and approval by the SFC as a Responsible Officer for Type 4 & 9 regulated activities, or equivalent recognised regulatory certification.

Substantial experience working in a regulated financial services environment with exposure to SFC compliance requirements.

Demonstrated expertise in Securities and Futures Commission regulations and licensing requirements for Type 4 & 9 activities.

Strong knowledge of Anti-Money Laundering and Know Your Client / Client Due Diligence (AML/KYC / CDD) procedures and practical experience.

Experience in developing and implementing compliance frameworks and internal controls.

Excellent analytical and problem-solving skills with meticulous attention to detail.

Ability to communicate complex regulatory requirements clearly to non-specialist staff.

Professional integrity and commitment to upholding the highest standards of regulatory compliance.

About us

QRC Asset Management Limited is a professionally managed organisation operating within the financial services sector. Our core business model includes Limited Partnership Fund (LPF) management, Discretionary Portfolio Management, and securities investment consulting. We are committed to maintaining the highest standards of regulatory compliance, corporate governance, and ethical business practices. Our mission is to deliver customized asset allocation solutions for institutional and high-net-worth professional investors while upholding all regulatory obligations and industry best practices. We provide a supportive environment where compliance professionals can thrive and make a meaningful impact on organisational success.