Senior Responsible Officer – Private Funds Platform Lead

Conners Consulting Limited; Hong Kong; On-site; HKD 1,500,000 - 3,000,000; Full time

Job summary

Conners Consulting Limited in Hong Kong seeks an experienced Responsible Officer to oversee Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) licenses for our client. You will ensure full regulatory compliance and lead the enhancement of the firm’s policies and controls.

The ideal candidate has a proven 10+ year track record in the private fund space in Hong Kong, with hands-on experience managing SFC-licensed entities and a strong grasp of SFO, SFC

Qualifications

• Minimum 10 years of relevant private fund experience in Hong Kong.
• Hands-on expertise with SFC licenses Types 1, 4, and 9.
• Deep knowledge of the SFO, SFC Handbook and related laws.

Responsibilities

• Act as Responsible Officer for Types 1, 4, and 9 licenses.
• Ensure compliance with the Code of Conduct and regulations.
• Develop and review compliance manuals and internal control procedures.
• Interface with the SFC for licensing and regulatory inquiries.
• Conduct regular compliance monitoring to identify and mitigate risks.

Skills

Leadership

Communication

Stakeholder mgmt

Team development

Regulatory knowledge

Education

Bachelor's degree in Finance, Law, or Business

Job description

Conners Consulting Limited in Hong Kong seeks an experienced Responsible Officer to oversee Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) licenses for our client. You will ensure full regulatory compliance and lead the enhancement of the firm’s policies and controls.

The ideal candidate has a proven 10+ year track record in the private fund space in Hong Kong, with hands-on experience managing SFC-licensed entities and a strong grasp of SFO, SFC