Responsible Officer (Type 4,9) - Part Time Role

OAC Group Limited; Hong Kong; On-site; HKD 900,000 - 1,500,000; Part time

Job summary

OAC Group Limited is seeking a highly qualified Responsible Officer for SFC Type 4 and Type 9 activities on a part-time basis in Hong Kong. A candidate with 3+ years of direct experience and current or eligible RO status is required to supervise regulatory compliance and oversee KYC/AML processes.

The role involves interacting with the SFC for filings and ensuring all practices meet SFO, FMCC, and AML/CFT guidelines. Strong leadership and regulatory expertise are essential.

Qualifications

• Experience with SFO, FMCC, AML/CFT guidelines and statutory reporting.
• Hands-on experience in Type 4 and Type 9 regulated activities.
• Bachelor’s degree or above in a related field.

Responsibilities

• Act as SFC-approved Responsible Officer for Type 4 and Type 9 duties.
• Supervise and manage regulated activities and liaise with SFC for filings.
• Ensure compliance with SFO, FMCC, AML/CFT guidelines and reporting standards.
• Maintain internal controls, risk management, and AML/CFT frameworks.
• Oversee onboarding, KYC/AML, and vendor due diligence.
• Support business expansion, product development and client relations.

Skills

SFC Type 4 expertise

SFC Type 9 expertise

Regulatory compliance

KYC/AML knowledge

English & Chinese fluency

Education

Bachelor’s degree in Finance/Regulatory

Job description

Responsible Officer (Type 4,9) - Part Time Role

We are seeking a highly qualified Responsible Officer (RO) for SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) activities.

This role requires a candidate with at least 3 years of direct experience in Type 4 and Type 9 regulated activities, holding current or recent SFC RO status (or immediate eligibility for SFC approval).

Key Responsibilities

Regulatory & SFC Compliance

Act as an SFC-approved Responsible Officer to supervise and manage Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities for the firm.

Serve as the primary point of contact with the SFC for regulatory filings, routine inspections, license notifications, and statutory reporting.

Ensure all investment, operational, and distribution practices comply strictly with the Securities and Futures Ordinance (SFO), SFC Code of Conduct, Fund Manager Code of Conduct (FMCC), and relevant regulatory guidelines.

Establish, review, and refine robust internal control systems, operational manuals, risk management protocols, and AML/CFT frameworks.

Oversee client onboarding, Know Your Customer (KYC), Anti-Money Laundering (AML), and professional investor verification procedures.

Lead operational due diligence on vendors, custodians, prime brokers, administrators, and external fund managers.

Partner with senior leadership to support business expansion, product development, fund structuring, and client relationship management.

Requirements

Licensing Status: Currently or recently registered as an SFC Responsible Officer (Type 4 & Type 9), or demonstrably fulfills the SFC competence and regulatory requirements for immediate approval as an RO.

Experience: Minimum 3+ years of hands-on experience in SFC Type 4 and Type 9 regulated activities within a licensed asset management company, private equity firm, or fund house in Hong Kong.

Education: Bachelor’s degree or above in Finance, Economics, Business Administration, Law, Accounting, or a related discipline.

Regulatory Expertise: Thorough practical knowledge of the SFO, FMCC, AML/CFT guidelines, and statutory reporting standards in Hong Kong.

Technical Skills: Strong understanding of fund setup/structuring, discretionary portfolio management, multi-asset class trading, and risk management systems.

Languages: Fluency in English and Chinese (Cantonese and/or Mandarin) in both written and spoken form.

Personal Attributes: Uncompromising integrity, sound commercial judgment, clear leadership skills, and the ability to operate effectively in a fast-paced financial environment