Responsible Officer (Type 4,9 Full/Part-Time)

iPlatform HR Service Limited; Hong Kong Island; On-site; HKD 700,000 - 1,000,000; Full time

Job summary

iPlatform HR Service Limited seeks a Responsible Officer (Type 4 and 9) in Hong Kong to oversee compliance for asset management activities. The role requires RO eligibility, leadership, and strong regulatory knowledge.

The candidate should have at least 5 years in financial services, experience with SFC guidelines, and fluency in English with Cantonese or Mandarin. This full-time role involves direct interaction with the SFC and internal teams.

Qualifications

• Must hold SFC Type 4 and Type 9 licenses with RO eligibility.
• Minimum 5 years in financial services with SFC regulation knowledge.
• Strong leadership and communication skills across all levels.
• Detail-oriented, analytical, proactive problem-solver.

Responsibilities

• Provide guidance on development, implementation, and monitoring of compliance policies.
• Monitor trading activities and perform compliance reviews and risk assessments.
• Serve as primary contact with the SFC for filings and communications.
• Stay updated on regulatory developments and advise on related matters.

Skills

SFC Type 4 license

SFC Type 9 license

Leadership

Communication

Education

Bachelor's degree in Finance/Law/Business

Job description

Responsible Officer (Type 4,9 Full/Part-Time)

Act as a Responsible Officer approved by the SFC for Type 4 and Type 9 (i.e., Asset Management) regulated activities. Oversee, manage, and ensure compliance with all applicable laws, rules, and regulations, including the SFC's Code of Conduct and relevant guidelines.

Key responsibilities

• Provide guidance and leadership on the development, implementation, and monitoring of effective compliance policies and procedures
• Monitor trading activities and conduct regular compliance reviews and risk assessments to identify and mitigate potential risks
• Serve as the primary-secondary contact with the SFC and handle all regulatory filings, reporting, and communications
• Keep abreast of regulatory developments and advise the company on related compliance matters

About you

• Must be a current holder of SFC Type 4 and 9 licenses with both unconditional RO status and eligibility to act as a Responsible Officer (RO) for Type 4 and 9 regulated activities
• At least 5 years of relevant experience in the financial services industry, with a strong understanding of SFC regulations and guidelines
• Possess strong leadership and communication skills, with the ability to work effectively with all levels of the organization
• Be detail-oriented and highly analytical, with a proactive approach to problem-solving
• Hold a bachelor's degree in Finance, Law, Business Administration, or a related field
• Fluency in English and (Cantonese or Mandarin) is required