Responsible Officer - SFC 1,4,9

Conners Consulting Limited; Hong Kong; On-site; HKD 1,500,000 - 3,000,000; Full time

Job summary

Conners Consulting Limited in Hong Kong seeks an experienced Responsible Officer to oversee Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) licenses for our client. You will ensure full regulatory compliance and lead the enhancement of the firm’s policies and controls.

The ideal candidate has a proven 10+ year track record in the private fund space in Hong Kong, with hands-on experience managing SFC-licensed entities and a strong grasp of SFO, SFC

Qualifications

• Minimum 10 years of relevant private fund experience in Hong Kong.
• Hands-on expertise with SFC licenses Types 1, 4, and 9.
• Deep knowledge of the SFO, SFC Handbook and related laws.

Responsibilities

• Act as Responsible Officer for Types 1, 4, and 9 licenses.
• Ensure compliance with the Code of Conduct and regulations.
• Develop and review compliance manuals and internal control procedures.
• Interface with the SFC for licensing and regulatory inquiries.
• Conduct regular compliance monitoring to identify and mitigate risks.

Skills

Leadership

Communication

Stakeholder mgmt

Team development

Regulatory knowledge

Education

Bachelor's degree in Finance, Law, or Business

Job description

Our client is looking for a seasoned Responsible Officer (RO) to oversee and lead our Type 1, 4, and 9 licensed activities.

Key responsibilities

Act as a Responsible Officer for SFC Licenses Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management).

Ensure all regulated activities are conducted in full compliance with the SFC's Code of Conduct and all relevant ordinances and regulatory requirements.

Develop, implement, and review the firm's compliance manuals, policies, and internal control procedures.

Serve as the primary point of contact with the SFC, managing all communications, licensing applications, and regulatory inquiries.

Conduct regular compliance monitoring and reviews to identify and mitigate potential risks.

About you

Current SFC Responsible Officer 1, 4, 9 status with a clean regulatory record.

Minimum of 10 years of proven and relevant experience in the private fund business within Hong Kong.

Solid and hands‑on experience in managing SFC licensed corporations holding Types 1, 4, and 9.

In‑depth knowledge of the Securities and Futures Ordinance (SFO), SFC Handbook, and other applicable laws and regulations.

Proven track record in structuring, launching, and managing private equity or other alternative investment vehicles.

Strong leadership skills with experience in managing and developing a team.

Excellent communication, interpersonal, and stakeholder management skills.

University degree in Finance, Law, Business Administration, or a related field. A Master's degree or professional qualifications (e.g., CFA, FRM) would be highly advantageous.

Fluency in English and Cantonese; Mandarin proficiency is a strong plus.

A competitive and attractive remuneration package, including performance-based bonuses.

A senior leadership role with significant autonomy and influence.

The opportunity to build and shape a leading private funds platform.

A collaborative and professional working environment.