SFC Type 4 & 9 Responsible Officer - Part-Time (with Quantitative Experience)

Aptitude Connect Limited; Hong Kong; On-site; HKD 335,000 - 670,000; Part time

Job summary

Aptitude Connect Limited seeks a part-time SFC Type 4 & 9 Responsible Officer with quantitative trading experience to oversee licensed activities in Hong Kong. This role focuses on governance, compliance, and regulatory reporting for a new Quantitative Fund, not holding client assets, PI only.

The successful candidate will supervise Type 4 and 9 activities, advise on daily operations for lawfulness, liaise with the SFC, and support fund establishment across jurisdictions.

Qualifications

• SFC accreditation as RO is required.
• Minimum 3 years' fund management experience in the past 6 years.
• Quantitative trading experience is preferred.
• Fluent English in written and spoken form.

Responsibilities

• Supervise Type 4 & 9 regulated activities as RO.
• Advise on daily operations to ensure compliance with laws and regulations.
• Act as a point of contact for regulatory inquiries with the SFC.
• Oversee fund establishment and structuring across jurisdictions.

Skills

Quantitative trading

Fund management

Regulatory compliance

English communication

Education

SFC Responsible Officer accreditation

Job description

SFC Type 4 & 9 Responsible Officer - Part-Time (with Quantitative Experience)

Our client has been providing asset management service to investors overseas for over 10 years and is now aiming to apply for an SFC license to conduct Type 4 and Type 9 regulated activities in Hong Kong (not holding client assets, PI only). They plan to manage a Quantitative Fund focused on secondary market , including A shares, HK and US stocks, and derivatives. Currently, they are seeking Responsible Officer(Part Time) to join their team. Ideal candidates will have experience in fund management, particularly in the above mentioned investments.

Responsibilities

• Act as the Responsible Officer to supervise Type 4 & 9 regulated activities;
• Advise on the daily operation to ensure the activities are in comply to all applicable laws, rules and regulations at all times, including the proper documentation of all operations, policies and procedures;
• Act as a point of contact for regulatory inquiries, maintaining a professional relationship with the SFC;
• Supervise fund establishment and structuring across relevant jurisdictions
• Preference will be given to candidates with quantitative trading experience.
• Assist the Company with license application with SFC.

Requirements

• Candidates who are currently accredited by the SFC as a Responsible Officer and have a minimum of 3 years of solid experience in fund management within the past 6 years.
• Must have experience in quantitative trading and research.
• Fluency in English in both written and spoken is essential.
• Solid Knowledge in fund management and the entire process of fund setup & operation.

What can I earn as a Responsible Officer

Unlock job insights

Hirer responsiveness Salary match Number of applicants

Your application will include the following questions:

• Which of the following statements best describes your right to work in Hong Kong?
• How would you rate your English language skills?
• What's your expected monthly basic salary?
• How many years' experience do you have as a Responsible Officer?
• Which of the following SFC Licenses do you hold?
• How many years' experience do you have with investment fund management?
• How many years of asset management experience do you have?