Responsible Officer (SFC RA1 / RA4 / RA9 · Sole-RO)

Global 70 MFO Wealth Management Limited; Hong Kong; On-site; HKD 1,200,000 - 1,800,000; Full time

Benefits offered by this job

Profit sharing

Competitive remuneration

Core management role

Job summary

Global 70 MFO Wealth Management Limited is seeking an experienced professional to serve as the Sole Responsible Officer (Sole-RO) for SFC-regulated activities in a core management capacity. The role blends regulatory oversight with business development, ensuring SFO and SFC compliance while driving growth in the HNW client base and EAM business.

Qualified candidates will have SFC RO passes, 5+ years of relevant experience, and bilingual proficiency in English and Chinese.

Qualifications

• Qualified to act as a Responsible Officer for SFC RA1/RA4/RA9 activities.
• SFC-recognised licensing examination passes and meeting SFC experience requirements.
• Minimum 5 years of relevant experience in securities/asset management/private banking/EAM.
• Strong knowledge of HK securities and futures regs, AML/CFT, product suitability and sales compliance.
• Excellent communication skills in English and Chinese (Mandarin/Cantonese).
• Fit and proper under SFC requirements: no criminal, bankruptcy or disciplinary records.

Responsibilities

• Serve as the Sole Responsible Officer for Type 1/4/9 activities with compliance oversight.
• Ensure full compliance with SFO, SFC Codes of Conduct and guidelines; manage filings and inspections.
• Establish internal controls, AML/CFT, and product suitability frameworks.
• Supervise account opening, investment advice and trade execution to ensure compliant operations.
• Assist in growing the HNW client base and EAM business; client relationship management.
• Leverage networks to bring in clients and assets; participate in business growth.
• Mentor and train team members to strengthen compliance and business capabilities.

Skills

RO qualifications (SFC RA1/RA4/RA9)

Regulatory compliance

Business development

Client relationship management

Bilingual English/Chinese

Education

SFC licensing exams passes

Job description

We are a licensed corporation holding Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) licenses issued by the Hong Kong Securities and Futures Commission (SFC). Specialising in External Asset Management (EAM), we provide high-net-worth clients with one‑stop wealth management services, including account opening with banks / brokers, investment advice and trade order execution. Due to business expansion, we are seeking an experienced professional who can act as the firm’s Sole Responsible Officer (Sole-RO) to join our core management team.

About the role

Serve as the Sole Responsible Officer (Sole-RO) for the firm's Type 1/4/9 regulated activities, with ultimate compliance responsibility for the regulated business. This role combines regulatory oversight with business development, requiring you to ensure full compliance with the Securities and Futures Ordinance (SFO), SFC Codes of Conduct and applicable guidelines, while also driving growth in the HNW client base and EAM business.

Key responsibilities

Serve as the Sole Responsible Officer (Sole-RO) for the firm's Type 1/4/9 regulated activities, with ultimate compliance responsibility for the regulated business

Ensure full compliance with the Securities and Futures Ordinance (SFO), SFC Codes of Conduct and applicable guidelines, and handle regulatory filings, inspections and communications

Establish and oversee internal controls, compliance, anti-money laundering (AML/CFT) and product suitability frameworks and procedures

Supervise account-opening processes, investment advice and trade order execution to ensure compliant operations

Assist the team in growing the HNW client base and EAM business, and participate in client relationship management and product marketing

Leverage your own client network to introduce clients and assets under management (AUM) to the firm, sharing in the business growth

Mentor and train team members to strengthen overall compliance and business capabilities

About you

Qualified to act as a Responsible Officer for SFC RA1, RA4 and RA9 activities, and able to act as Sole-RO

Holder of the relevant SFC-recognised licensing examination passes, and meeting the SFC's industry experience requirements for ROs

Minimum 5 years of relevant experience in securities / asset management / private banking / EAM, including management or supervisory experience

Strong knowledge of Hong Kong securities and futures regulations, AML/CFT, product suitability and sales compliance requirements

Strong sales and business development mindset, with proven ability to maintain and grow HNW client relationships

Excellent communication skills in English and Chinese (Mandarin / Cantonese)

Fit and proper under SFC requirements: no criminal record, no bankruptcy record, and no material compliance or disciplinary record

What We Offer

A core management role: deep involvement in corporate governance and business decisions as the firm’s Sole Responsible Officer.

Competitive remuneration packagewith performance incentives, tailored to your experience and background.

Attractive profit-sharing arrangementfor clients you bring to the firm (details to be discussed in confidence).