Responsible Officer - SFC Type 1, 4 & 9

Morgan Mckinley Limited; Hong Kong Island; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

Morgan McKinley Limited in Hong Kong is seeking a seasoned executive to serve as SFC Responsible Officer for Type 1, 4 and 9 activities. You will lead license setup, oversee day-to-day dealing operations and coordinate offshore fund structures with Cayman Islands and BVI vehicles.

You will work closely with the CEO on strategic initiatives, maintain strict AML/CFT compliance, and liaise with HK regulators. Fluent English and Cantonese are required; prior RO experience is highly preferred.

Qualifications

• SFC RO status for Type 1, 4 and 9 (unconditional RO preferred).
• 7–12 years in asset management, securities dealing, or brokerage setup.
• Experience structuring offshore funds (Cayman Islands, BVI).
• Comfortable working directly with the CEO in an agile, entrepreneurial setting.
• Deep knowledge of HK SFO regulations, SFC guidelines, fund operations.
• Excellent English and Cantonese to liaise with regulators and internal teams.

Responsibilities

• Drive setup and day-to-day oversight of Type 1 dealing activities.
• Collaborate with the CEO on strategic initiatives and offshore structure setups.
• Oversee offshore fund structures and investor setup.
• Serve as SFC RO for Type 1, 4 and 9 with AML/CFT compliance.
• Liaise with Hong Kong SFC for licensing matters and audits.
• Mentor junior staff within a lean, agile environment.

Skills

RO status Type 1/4/9

Asset management

Securities dealing

Brokerage setup

Offshore funds

English and Cantonese

Executive liaison

Job description

• 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.