Responsible Officer – SFC Type 9

Experis; Hong Kong Island; On-site; HKD 1,200,000 - 1,800,000; Full time

Job summary

Experis in Hong Kong seeks an experienced compliance professional to oversee regulatory adherence for asset management, including SFC standards and cross-border investments.

You will support fund formation, AML/CFT, risk management, and investor relations with institutional clients across jurisdictions.

The role requires SFC Type 9 RO eligibility, 7+ years in asset management, and a strong ability to work independently under tight deadlines.

Qualifications

• Ensure adherence to regulatory requirements and internal compliance policies in line with SFC standards.
• Experience supporting fund formation, cross-border investments and investment structuring.
• Knowledge of SFO, SFC Codes of Conduct and related guidelines.
• Experience with AML/CFT and product suitability frameworks.

Responsibilities

• Ensure adherence to regulatory requirements and internal compliance policies in line with SFC standards.
• Provide compliance support for fund formation, cross-border investments, and investment structuring, including offshore fund structures in Cayman Islands, Luxembourg, and other jurisdictions.
• 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.
• Develop and maintain investor relationships including sovereign funds, pension funds, funds of funds (FOF), family offices, insurance asset management, private banks, and high-net-worth clients.

Skills

SFC Type 9 RO eligibility

Regulatory compliance

Risk management

Asset management operations

Education

Bachelor's degree in Finance, Economics or related field

Job description

Ensure adherence to regulatory requirements and internal compliance policies in line with SFC standards

Provide compliance support for fund formation, cross-border investments, and investment structuring, including offshore fund structures in Cayman Islands, Luxembourg, and other jurisdictions

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

Develop and maintain investor relationships including sovereign funds, pension funds, funds of funds (FOF), family offices, insurance asset management, private banks, and high-net-worth clients

About you

Bachelor's degree in Finance, Economics or related field

Able to be appointed as SFC Type 9 Responsible Officer

7+ years of relevant experience in asset management with solid knowledge of operations, compliance, and risk management

Experience managing private credit, private equity, multi-asset, or alternative investment strategies

Existing relationships with institutional investors, family offices, or distribution channels would be an advantage

Independent, self-motivated, well-organized and detail-oriented, with the ability to work under tight deadlines and a strong sense of responsibility