Responsible Officer - SFC Type 1, 4 & 9

Morgan McKinley; Hong Kong; On-site; HKD 1,200,000 - 2,100,000; Full time

Job summary

Morgan McKinley in Hong Kong seeks an experienced professional to serve as a licensed Responsible Officer for Type 1, overseeing Type 1 activities and supporting offshore fund structures (Cayman/BVI). You will ensure regulatory compliance and work closely with executive leadership on strategic initiatives.

You will liaison with the SFC, SFO requirements, AML/CFT policies, and build a lean, agile team while guiding junior staff and coordinating with regulators.

Qualifications

• Holding or previously held SFC RO status for Type 1, 4, 9 (unconditional RO preferred).
• 7–12 years in asset management, securities dealing, or brokerage setup.
• Hands-on experience structuring offshore vehicles (Cayman/BVI funds).
• Energetic, proactive professional able to work with CEO in an agile setting.
• Strong knowledge of HK SFO regulations and SFC guidelines.
• Excellent command of English and Putonghua/Cantonese.

Responsibilities

• Type 1 License setup, operations oversight; drive day-to-day dealing activities.
• CEO strategic projects collaboration on high-priority initiatives.
• Offshore fund structures oversight (Cayman Islands & BVI).
• SFC compliance & supervision as RO for Type 1, 4 & 9; ensure AML/CFT adherence.
• Regulator liaison with HK SFC for licensing matters and audits.
• Team leadership in a lean, agile environment and mentoring staff.

Skills

RO status

Asset management

Securities dealing

Offshore structuring

Leadership

Job description

Responsibilities:

• Type 1 License Setup & Operations: Drive the setup, and day-to-day oversight of Type 1 dealing activities (including fund distribution, placement, and related trading/dealing operations).


• CEO Strategic Projects: Collaborate closely with the CEO on high-priority strategic initiatives, offshore structure setups, and business expansion projects.


• Fund & Offshore Operations Support: Oversee and manage offshore fund structures (e.g., Cayman and BVI funds), handling operational workflows, and investor setup.


• SFC Compliance & Supervision: Act as an SFC-approved Responsible Officer for Type 1, 4, and 9 activities; ensure strict adherence to the SFO, SFC Codes of Conduct, AML/CFT policies, and continuous compliance protocols.


• Regulator Liaison: Serve as the primary point of contact with the Hong Kong Securities and Futures Commission (SFC) for licensing matters, audits, and routine regulatory communication.


• Team Leadership & Culture: Work within a lean, agile environment, mentoring junior operational staff and fostering a collaborative team spirit.

Requirements:

• Currently holding or previously held SFC Responsible Officer (RO) status for Type 1, 4, and 9 (unconditional RO status preferred).


• Strong track record in asset management, securities dealing, or brokerage setup, ideally with ~7 to 12 years of overall professional experience.


• Proven hands-on experience managing and structuring offshore vehicles, specifically Cayman Islands and BVI fund structures.


• Strong preference for a energetic, proactive professional comfortable working directly with executive leadership (CEO) in an agile, entrepreneurial setting.


• Deep familiarity with Hong Kong SFO regulations, SFC operational guidelines, fund operations, and Type 1 dealing workflows.


• Excellent command of written and spoken English and Putonghua/Cantonese to liaise with internal teams, CEO projects, and regulators effectively.