Responsible Officer (Type 1, 4 & 9 Regulated Activities)

Blackhorn Wealth Management Limited; Hong Kong; On-site; HKD 900,000 - 1,300,000; Full time

Benefits offered by this job

Competitive package

Job summary

Blackhorn Wealth Management Limited in Hong Kong seeks an experienced Responsible Officer to oversee its regulated activities under the SFC. This senior leadership role focuses on regulatory compliance, governance, and supporting strategic growth across securities dealing, advisory, and asset management.

The RO will lead licensing submissions, AML/CFT controls, regulatory reporting, and liaise with the SFC and other authorities.

Qualifications

• Eligible to act as a Responsible Officer for SFC Type 1, Type 4 and Type 9 Regulated Activities.
• Minimum 8 years of relevant experience in securities/brokerage, advisory, asset management, or closely related fields.
• Experience leading licensing submissions and liaising with the SFC and regulatory advisers is a strong plus.

Responsibilities

• Regulatory Oversight as RO for Type 1, Type 4 and Type 9 activities.
• Regulatory reporting, compliance reviews, internal audits, and SFC inspections.
• Lead AML/CFT controls and governance, maintain ongoing compliance with SFO and Codes.
• Provide practical legal/regulatory guidance to management and business units.
• Oversee licensed representatives and regulated activities, monitor regulatory developments.

Skills

Regulatory compliance

SFC regulations

Leadership

Stakeholder management

Education

Bachelor's degree in Finance/Law/Accounting

Job description

Responsible Officer (Type 1, 4 & 9 Regulated Activities)

Responsible Officer (Type 1, 4 & 9 Regulated Activities)

Location: Hong Kong
Employment Type: Full-time

About Us

We are a growing financial services firm seeking an experienced and qualified Responsible Officer (RO) to oversee our regulated activities under the Securities and Futures Commission (SFC) of Hong Kong. This is a senior leadership role responsible for ensuring regulatory compliance, maintaining strong governance standards, and supporting the strategic growth of the business.

The ideal candidate will possess extensive regulatory experience, strong business acumen, and the ability to provide practical compliance and legal guidance to management and business teams.

Key Responsibilities

Regulatory Oversight

Act as a Responsible Officer for:

Type 1: Dealing in Securities

Type 4: Advising on Securities

Type 9: Asset Management

Ensure ongoing compliance with the Securities and Futures Ordinance (SFO), SFC Codes, Guidelines, Circulars, and other applicable regulatory requirements.

Maintain effective compliance, risk management, and internal control frameworks.

Serve as the primary liaison with the SFC and other regulatory authorities on licensing and compliance matters.

Business Management & Strategic Support

Oversee and supervise the firm's regulated activities and licensed representatives.

Provide regulatory and compliance guidance to senior management on business initiatives, products, and client activities.

Support the development and implementation of business growth strategies while ensuring regulatory compliance.

Review and approve client onboarding processes, marketing materials, investment advisory activities, and asset management operations.

Monitor regulatory developments and assess their impact on the business.

Ensure effective implementation of AML/CFT policies and procedures.

Lead regulatory reporting, compliance reviews, internal audits, and SFC inspections.

Identify, assess, and mitigate regulatory, operational, and business risks.

Promote a strong culture of compliance and sound governance throughout the organization.

Legal & Advisory Responsibilities

Provide practical legal and regulatory guidance on securities, asset management, and financial services matters.

Review and advise on legal and regulatory documentation, including client agreements, investment management agreements, fund documentation, marketing materials, and disclosures.

Work closely with external legal counsel and regulatory consultants on licensing, compliance, and legal matters.

Assist management in evaluating legal and regulatory implications of new business initiatives and strategic projects.

Requirements

Mandatory Qualifications

Eligible to act as a Responsible Officer for SFC Type 1, Type 4 and Type 9 Regulated Activities.

Meet the competency requirements prescribed by the Hong Kong SFC.

Current or previous approval as a Responsible Officer is highly preferred.

Experience

Minimum 8 years of relevant experience in securities brokerage, investment advisory, asset management, private banking, compliance, legal advisory, or related financial services sectors.

Proven experience in managing regulated activities and dealing with Hong Kong regulatory authorities.

Strong working knowledge of Hong Kong securities regulations, licensing requirements, and industry best practices.

Experience in SFC Type 1 licence applications, including preparation of licensing submissions, regulatory communications, business plans, and liaison with the SFC and professional advisers, will be considered a significant advantage.

Legal & Regulatory Knowledge

Legal advisory experience or strong knowledge of securities law, financial services regulation, and corporate governance is highly preferred.

Ability to interpret and apply legal and regulatory requirements to business operations and strategic initiatives.

Experience reviewing legal agreements, fund documentation, compliance policies, and regulatory disclosures is an asset.

Strong leadership and people management capabilities.

Excellent communication and stakeholder management skills.

Strong analytical, problem-solving, and decision-making abilities.

Commercially minded with the ability to balance business objectives and regulatory requirements.

High level of integrity, professionalism, and accountability.

Fluent in English and Chinese; Mandarin proficiency is an advantage.

Preferred Candidate Profile

The successful candidate will be an experienced SFC-approved Responsible Officer with a strong track record in Type 1, 4 and 9 regulated activities. Candidates who have led or supported SFC Type 1 licence applications and possess legal advisory expertise or a legal background related to financial services regulation will be particularly well suited for this role.

What We Offer

Competitive package

Opportunity to contribute to the growth and development of a dynamic financial services platform.

Collaborative and professional working environment.