Responsible Officer (Type 4 & 9)

Eunique Consulting Limited; Hong Kong Island; On-site; HKD 900,000 - 1,200,000; Full time

Job summary

Eunique Consulting Limited in Hong Kong seeks an experienced Responsible Officer to oversee Type 4 and Type 9 regulated activities for a newly incorporated client. You will provide strategic governance, supervise risk management, and ensure compliance with SFC rules.

The role involves engagement with board and management committees, policy reviews, and liaison with the SFC and authorities. Mandarin, Cantonese, and English communication skills are required to navigate regulatory discussions and

Qualifications

• Must currently be approved by the SFC as an RO for Type 4 and Type 9, or a Licensed Representative who meets the RO competency requirements (e.g., 3 years of relevant industry experience over the past 6 years).
• Solid product experience in fund management over the past 6 years is required.
• Good command of written and spoken Mandarin, Chinese and English.

Responsibilities

• Serve as core RO to provide strategic oversight and governance for Type 4 and Type 9 activities.
• Attend periodic board/investment/management committee meetings to supervise operations and risk management frameworks.
• Provide high-level regulatory advice, review policies, and sign off on major compliance or operational matters when escalated.
• Liaise with the SFC and authorities to ensure ongoing alignment with the Securities and Futures Ordinance.
• Handle ad-hoc regulatory tasks.

Skills

Regulatory governance

Risk management

Board/committee participation

Regulatory advisory

SFC liaison

Multilingual (Mandarin/English)

Job description

We are currently looking for an experienced Responsible Officer (“RO”) for our client, a newly incorporated company in Hong Kong, to support their upcoming SFC Type 4 and Type 9 license applications.

RESPONSIBILITIES

• Serve as a core RO to provide strategic oversight and fulfill regulatory governance requirements for Type 4 and Type 9 regulated activities.
• Participate in periodic board, investment, or management committee meetings to supervise core business operations and risk management frameworks.
• Provide high-level regulatory advice, review critical policies, and sign off on major compliance or operational matters when escalated.
• Handle regulatory inquiries, liaise with the SFC and relevant authorities as required, and ensure ongoing alignment with the Securities and Futures Ordinance.
• Handle ad-hoc tasks.

REQUIREMENTS

• Currently approved by the SFC as a RO for Type 4 and Type 9, OR a currently Licensed Representative who fully meets the RO competency requirements (e.g., meeting the 3 years of relevant industry experience over the past 6 years).
• Must have solid product experience in fund management over the past 6 years.
• Good command of written and spoken Mandarin, Chinese and English.

Location: Wan Chai District, HK