Responsible Officer (Type 1,4,9 Full Time)

iPlatform HR Service Limited; Hong Kong Island; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

iPlatform HR Service Limited seeks a Responsible Officer (Type 1, 4, 9) to oversee asset management regulatory compliance in Hong Kong. The role requires active RO status and leadership to guide policy development and monitoring.

You will manage regulatory filings, communicate with the SFC, and ensure ongoing adherence to the Code of Conduct. English fluency and Cantonese/Mandarin ability are essential for effective collaboration across the organization.

Qualifications

• Must hold SFC Type 1, 4 and 9 licenses with RO status and eligibility.
• At least 5 years of experience in financial services with strong SFC knowledge.
• Demonstrated leadership and cross-level communication abilities.
• Detail-oriented and analytical with proactive problem-solving.
• Bachelor’s degree in Finance, Law, Business Admin or related field.
• Fluent in English; Cantonese or Mandarin required.

Responsibilities

• Act as RO for Type 1, 4 and 9 (Asset Management) licensed activities.
• Oversee and ensure compliance with laws, rules, and SFC Code of Conduct.
• Lead development and monitoring of compliance policies and procedures.
• Monitor trading activities and conduct risk reviews to mitigate risks.
• Serve as primary contact with the SFC for filings and communications.
• Stay updated on regulatory developments and advise on related matters.

Skills

Regulatory knowledge

Leadership

Communication skills

Languages: English

Bilingual: Cantonese/Mandarin

Education

Bachelor's degree in Finance/Law/Business Administration

Job description

Responsible Officer (Type 1,4,9 Full Time)

1. Act as a Responsible Officerapproved by the SFCfor Type 1, Type 4 and Type 9 (i.e., Asset Management) regulated activities.

2. Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and relevant guidelines.

3. Provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures.

4. Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks.

5. Serve as the primary-secondary contact with the SFC and handle all regulatory filings, reporting, and communications.

6. Keep abreast of regulatory developments and advise the company on related compliance matters.

Job Requirements:

1. Must be a current holder of SFC Type 1, 4 and 9 licenses with both unconditional RO status and eligibility to act as a Responsible Officer (RO) for Type 1, 4 and 9 regulated activities.

2. At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines.

3. Possess strong leadership and communication skills, with the ability to work effectively with all levels of the organization.

4. Be detail-oriented and highly analytical, with a proactive approach to problem-solving.

5. Hold a bachelor’s degree in Finance, Law, Business Administration, or a related field.

6. Fluency in English and (Cantonese or Mandarin) is required.

Approved Person for SFC-authorized funds, Asset Management

Wan Chai District, HK

What can I earn as a Responsible Officer