Responsible Officer (SFC Type 1, 4 & 9)

Still Water Capital Management Limited; Hong Kong; On-site; HKD 1,200,000 - 2,000,000; Full time

Benefits offered by this job

Competitive remuneration package

Premium medical insurance

Job summary

Still Water Capital Management Limited is seeking an experienced Responsible Officer to lead regulatory compliance and day-to-day operations for its SFC-licensed platform. You will supervise DMA and EAM activities and act as the main liaison with the SFC on licensing, filings and inspections.

Fluency in English and Chinese, plus a minimum of 5 years in financial services, and an unconditional RO approval for Type 1/4/9 or eligibility to act as RO, are required.

Qualifications

• Minimum 5 years of relevant experience in financial services (securities brokerage, investment advisory and/or asset management).
• Unconditional SFC RO approval for Type 1, 4 and 9 or eligible to act as RO.

Responsibilities

• Serve as primary contact with the SFC on licensing matters, regulatory filings, inspections and reporting obligations.
• Develop and maintain the company's compliance and internal control framework including AML/CFT and conflicts of interest policies.
• Provide hands-on supervision of discretionary account management activities including portfolio construction, monitoring, rebalancing and client reporting.
• Oversee external asset management (EAM) governance including third-party manager oversight and due diligence.
• Monitor daily operations including client onboarding (KYC/CDD/EDD), AML/CFT controls and trade execution.

Skills

SFC RO approval

Regulatory compliance

AML/CFT

KYC/CDD/EDD

DMA knowledge

EAM oversight

English & Chinese

Job description

We are seeking an experienced and suitably qualified Responsible Officer (RO) for Type 1, 4 and 9 regulated activities to serve as a key supervisory and operational leader for our SFC‑licensed corporation. The role focuses on overseeing day‑to‑day operations and ensuring robust regulatory compliance across the firm's regulated activities. To supervise the Discretionary Managed Accounts (DMA) and External Asset Management (EAM) activities of the fast‑growing platform.

Key responsibilities

Serve as the primary point of contact with the SFC on licensing matters, regulatory filings, inspections, inquiries and ongoing reporting obligations

Develop, implement and maintain the company's compliance and internal control framework, covering AML/CFT, conflicts of interest, information barriers, client suitability and related policies

Provide hands‑on supervision of discretionary account management activities, including portfolio construction, ongoing monitoring, rebalancing, performance review and client reporting, ensuring full compliance with regulatory requirements and internal investment guidelines

Monitor the firm's external asset management (EAM) business, including oversight of third‑party managers, performance tracking, compliance with investment mandates and ongoing due diligence

Monitor daily business activities, including client onboarding (KYC/CDD/EDD), AML/CFT controls, client asset protection, compliance with the Financial Resources Rules, trade execution and portfolio management

About you

Current holder of unconditional SFC Responsible Officer approval for Type 1, 4 and 9 regulated activities, or eligible to act as Responsible Officer

Minimum 5 years of relevant experience in the financial services industry (securities brokerage, investment advisory and/or asset management), with solid exposure to Hong Kong operations

Strong understanding of securities trading, settlement, portfolio operations and asset management operational workflows

Knowledge of DMA and EAM business is a definite advantage

Eligibility to act as SFC Responsible Officer for Type 2 and/or Type 5 regulated activities would be an advantage

Fluency in English and Chinese (including Mandarin) is required

• Competitive remuneration package
• Premium medical insurance, MPF contributions, and a competitive annual leave allowance

Opportunity to play a key leadership role in a regulated financial institution with direct exposure to senior management

Professional development and career progression within a growing asset management platform