Responsible Officer – SFC Types 1, 4 & 9

EPIL PROFESSIONAL SERVICES LIMITED; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Job summary

EPIL Professional Services Limited is seeking an experienced Responsible Officer to oversee two licensed entities in Hong Kong, covering Type 1, 4 and 9 regulated activities. The role requires deep regulatory governance, investment oversight and leadership across securities, funds and related operations in Hong Kong and Mainland China.

You will serve as the primary liaison with the Hong Kong SFC, supervise day-to-day operations, structure and launch OFCs and Cayman funds, and ensure compliance

Qualifications

• Bachelor's degree or above in Finance, Business or Law.
• CFA or CAIA qualifications preferred.
• SFC licences Types 1, 4 and 9 required to function as RO.
• Minimum 5 years' experience in HK and mainland China.
• Leadership in financial investment and private funds.

Responsibilities

• Act as SFC-approved RO for two licensed entities and oversee Type 1/4/9 activities.
• Liaise with HK SFC on licensing, inquiries, inspections and remediation.
• Supervise operations across brokerage, advisory, fixed income, fund investments.
• Lead structuring, establishment and launch of fund vehicles (HK OFCs and Cayman funds).
• Establish governance and investment management frameworks for funds.
• Oversee investment management to ensure compliance with mandates and policies.
• Oversee client onboarding and due diligence including AML/KYC compliance.

Skills

English

Mandarin

Cantonese

Education

Bachelor's degree or above

CFA/CAIA preferred

Job description

Responsible Officer – SFC Types 1, 4 & 9

Lead regulatory governance, business operations, investment oversight and team leadership for two licensed entities within the Group. As an SFC-approved Responsible Officer, you will oversee Type 1, 4 and 9 regulated activities, maintain high standards of regulatory compliance, and support the structuring and launch of Hong Kong OFCs and Cayman Islands funds. This role is based in Hong Kong and requires significant experience across Hong Kong and mainland China.

Key responsibilities

• Act as the SFC-approved Responsible Officer for two licensed entities and oversee Type 1, 4 and 9 regulated activities.
• Serve as the primary liaison with the Hong Kong SFC on licensing matters, regulatory enquiries, inspections and follow-up remediation.
• Supervise day-to-day operations across securities brokerage, securities advisory, fixed income, fund investments and discretionary account management, in line with each entity's approved business scope.
• Lead the structuring, establishment and launch of fund vehicles, including Hong Kong Open-ended Fund Companies and Cayman Islands funds.
• Establish robust operational, governance and investment management frameworks for fund vehicles.
• Oversee investment management activities to ensure compliance with client mandates, investment restrictions, internal risk policies and applicable regulatory requirements.
• Work with compliance, risk and operations teams to maintain effective internal controls, manage potential conflicts of interest, conduct periodic compliance reviews and ensure prompt escalation and remediation of operational risks.
• Oversee trade surveillance for client and house accounts to identify and mitigate unusual trading activities.
• Maintain effective relationships with external brokers and execution counterparties.
• Oversee client onboarding and ongoing Customer Due Diligence, ensuring compliance with Know Your Client and Anti-Money Laundering and Counter-Financing of Terrorism standards.
• Lead and supervise licensed personnel and operational teams, manage external service providers, and provide regular reporting to the Board, Senior Management and Investment Committee on business performance, regulatory updates and material risks.

What we're looking for

• Bachelor's degree or above in Finance, Business Administration, Economics, Law or a related discipline.
• Postgraduate or professional qualifications such as CFA or CAIA are preferred.
• Required SFC licences, including Types 1, 4 and 9, to function as a Responsible Officer.
• At least 5 years of significant working experience in Hong Kong and mainland China.
• At least 5 years of progressive leadership experience in financial investment, financial analysis and private investment funds.
• Strong experience in deal origination and execution.
• Deep theoretical and practical understanding of portfolio management techniques.
• Strong financial analysis, modelling and negotiation skills.
• Fluent spoken and written English, Mandarin and Cantonese.
• Ability to work effectively under pressure and meet frequent tight deadlines.