Responsible Officer - Type 1&9 Asset Management

Michael Page International (HK) Ltd; Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Benefits offered by this job

Competitive remuneration package

Dynamic working environment

Job summary

Michael Page International (HK) Ltd. in Hong Kong is partnering with a start-up asset management firm to recruit a Responsible Officer (RO) for SFC Type 1&9 governance.

The RO will oversee regulatory compliance, risk management, and internal controls for asset management activities. The successful candidate will hold an SFC Type 1&9 RO license with at least 5 years of relevant experience in Hong Kong asset management or related areas, and will demonstrate strong English and Chinese

Qualifications

• Current SFC Type 1&9 RO holder with at least 5 years in HK asset management or related fields.
• Experience in supervisory, compliance, risk management, or senior management within an SFC-licensed entity.
• Strong attention to detail and clear, logical thinking.
• Excellent written and verbal communication in English and Chinese.

Responsibilities

• Ensuring compliance with local regulatory requirements and industry standards.
• Supervising the daily operations of banking and financial services activities.
• Providing guidance on risk management and internal control measures.
• Preparing and submitting regulatory filings and reports.
• Monitoring and improving compliance frameworks and policies.
• Conducting regular audits to ensure adherence to procedures.
• Acting as the primary contact for regulatory bodies and external auditors.
• Training staff on compliance and regulatory requirements.

Skills

Regulatory compliance

Risk management

Governance oversight

English & Chinese communication

Regulatory reporting

Education

Bachelor's Degree in business administration or relevant discipline

Job description

Responsible Officer - Type 1&9 Asset Management

Act as a Responsible Officer (RO) for an SFC Type 1&9 licensed corporation, ensuring compliance with SFC regulatory requirements and overseeing asset management activities. Provide regulatory oversight and governance support, including compliance monitoring, internal controls, risk management, and policy implementation for SFC Type 9 Asset Management Startup.

Our client is a Hong Kong-based start-up asset management firm holding an SFC Type 1&9 (Asset Management) licence, focused on delivering investment management solutions across Hong Kong and Greater China. The firm is building its presence in the market with a strategic focus on Hong Kong and Mainland China, offering for Responsible Officer (RO) to join at a pivotal stage of growth and development

Description

• Ensuring compliance with local regulatory requirements and industry standards.
• Supervising the daily operations of banking and financial services activities.
• Providing guidance on risk management and internal control measures.
• Preparing and submitting regulatory filings and reports.
• Monitoring and improving compliance frameworks and policies.
• Conducting regular audits to ensure adherence to procedures.
• Acting as the primary contact for regulatory bodies and external auditors.
• Training staff on compliance and regulatory requirements.

Profile

• Bachelor's Degree holder of business administration or relevant discipline
• Current SFC Type 1&9 RO holder, at least 5 years of working experience within Hong Kong asset management, fund management, investment management, securities, or regulatory compliance.
• Solid working experience in supervisory, compliance, risk-management, or senior management responsibilities within an SFC-licensed corporation or financial institution.
• Strong attention to detail, technical skills with clear and logical manner
• Work collaboratively with team member
• Strong quick learning ability to understand policies, procedures, systems, process and controls
• Excellent of written and verbal communication skills in English and Chinese

Job Offer

• Competitive remuneration package
• Dynamic working environment