RO

地球行者資產管理有限公司; Hong Kong Island; On-site; HKD 800,000 - 1,200,000; Full time

Job summary

地球行者資產管理有限公司 is seeking a second Responsible Officer (RO) to share SFC compliance duties with the senior RO for licenses 4 and 9, ensuring all operations meet regulatory requirements and uphold the highest standards of integrity.

The role covers client due diligence, ongoing reviews, risk controls, and preparing for inquiries, submissions, and inspections, with opportunities to lead CPT training and strengthen the team’s compliance capabilities.

Qualifications

• HKSI Paper 1+2 (License 4 RO) or Paper 1+6 (License 9 RO), or currently hold SFC License 4 or 9 RO
• At least 3 years of relevant industry experience in the past 6 years
• At least 2 years of management experience supervising teams
• Holding a valid Hong Kong work visa
• No criminal record or financial delinquencies; fit and proper
• CFA, CPA or other SFC-recognised qualifications preferred
• Responsible Officer (RO) Type 1, 2, 4 & 9

Responsibilities

• Share regulatory responsibility with the senior RO for SFC obligations for licenses 4 and 9
• Participate in daily compliance management including CDD, OCC, and conflict-of-interest declarations
• Review and update compliance manuals and internal controls to align with SFC requirements
• Attend meetings and provide compliance advice on investment advisory and asset management
• Assist the senior RO with SFC inquiries, submissions, and on-site inspection responses
• Provide regular compliance status updates to the senior RO
• Establish CPT programmes to ensure team compliance awareness

Education

HKSI Paper 1+2 (License 4 RO) or Paper 1+6 (License 9 RO) or SFC RO

Job description

As the company's second Responsible Officer (RO), you will share statutory regulatory responsibility with the existing senior RO for SFC compliance, ensuring compliant operations of License 4 and License 9 businesses. Under the SFC regulatory framework, you will oversee specific business functions or responsibilities such as customer suitability assessment, anti-money laundering monitoring, and transaction surveillance.

Key responsibilities

Share regulatory responsibility with the senior RO for SFC statutory obligations, ensuring License 4 and License 9 business compliance

Participate in daily compliance management including customer due diligence (CDD), ongoing customer review (OCC), and conflict of interest declarations

Review and update compliance manuals and internal control procedures to ensure alignment with latest SFC regulatory requirements

Attend business meetings and provide compliance advice on investment advisory and asset management services

Assist the senior RO in handling SFC daily inquiries, regulatory submissions, and on-site inspection responses

Provide regular compliance status and regulatory updates to the senior RO

Establish and execute continuous professional training (CPT) programmes to ensure team compliance awareness aligns with regulatory requirements

About you

Passed HKSI Paper 1 + Paper 2 (License 4 RO) or Paper 1 + Paper 6 (License 9 RO), or currently hold SFC License 4 or License 9 RO qualification

At least 3 years of relevant industry experience within the past 6 years (investment advisory, asset management, or compliance and risk control)

At least 2 years of management experience within the past 6 years, with demonstrated evidence of supervising teams or business operations

Hold valid Hong Kong work visa (such as Quality Migrant Admission Scheme, Talent Immigration Scheme, IANG, dependent visa, or permanent resident status)

No criminal record, no financial violations or bankruptcy record, and meet SFC "fit and proper person" assessment criteria

CFA, CPA or other SFC-recognised professional qualifications preferred

Responsible Officer (RO) (Type 1, 2, 4 & 9)

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