Type 4,9 RO - Private Equity Fund

Michael Page (Hong Kong); Hong Kong; On-site; HKD 900,000 - 1,500,000; Full time

Job summary

Michael Page International (Hong Kong) Limited is seeking a senior regulatory professional to act as Responsible Officer for Type 4 and Type 9 activities. The role entails ensuring compliance with SFC rules, governance, risk management, and regulatory reporting across asset management and private equity initiatives.

You will lead the establishment and oversight of private equity fund structures, work with Legal, Compliance, Operations and external advisers, and provide strategic regulatory

Qualifications

• Familiarity with SFC rules and fund manager conduct.
• Experience in asset management or private equity environments.
• Experience liaising with regulators and handling licensing matters.

Responsibilities

• Serve as a Responsible Officer for Type 4 and Type 9 activities.
• Ensure compliance with SFC regulations, codes and licensing requirements.
• Lead fund structuring and governance for private equity initiatives.
• Oversee regulatory reporting, inspections and licensing matters.
• Provide guidance on regulatory developments to senior management.

Skills

Regulatory compliance

Asset management

Private equity

SFC regulations

Leadership / stakeholder mgmt

Education

CFA/CAIA/CPA/FRM (preferred)

Job description

• A top tier Chinese Asset Manager in Hong Kong
• Steadily expanding across all functions

About Our Client

Our client is a leading Hong Kong-based asset management firm with a long-established market presence and a strong institutional heritage. The firm manages a diversified range of investment solutions across public and private markets, serving institutional, intermediary, retirement, and wholesale clients across Hong Kong and the Greater China region. The platform is licensed by the Hong Kong Securities and Futures Commission for multiple regulated activities, including asset management and investment advisory services.

Job Description

Responsible Officer & Regulatory Oversight

• Serve as a Responsible Officer for Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities.
• Ensure compliance with all applicable SFC regulations, codes, guidelines, and licensing requirements.
• Maintain and enhance the firm's governance, compliance, risk management, and internal control frameworks.
• Act as a key point of contact with regulators and oversee regulatory reporting, inspections, and licensing matters.
• Provide guidance to senior management on regulatory developments and business initiatives.

Private Equity Fund Launch

• Lead and support the establishment of new private equity fund structures and related investment platforms.
• Work closely with Legal, Compliance, Operations, Risk, and external advisers throughout the fund formation process.
• Assist in developing investment governance frameworks, operating procedures, valuation policies, and risk controls.
• Oversee service provider appointments, including fund administrators, custodians, auditors, and legal counsel.

Investment & Business Oversight

• Participate in investment governance and portfolio oversight processes.
• Review investment proposals and ensure adherence to fund mandates and regulatory requirements.
• Support product development and expansion initiatives within private markets and alternative investments.
• Collaborate with fundraising and investor relations teams on regulatory and operational matters.

Risk & Governance

• Ensure robust controls around AML/KYC, valuation, conflicts of interest, and operational risk.
• Promote a strong compliance culture across the organization.
• Participate in management committees and contribute to strategic business decisions.

The Successful Applicant

• Current Type 4 and Type 9 Responsible Officer under the Hong Kong SFC regime.
• Minimum 8 years of experience in asset management, private equity, alternative investments, fund management, or investment advisory businesses.
• Proven experience launching, managing, or overseeing private equity funds and related investment structures.
• Strong knowledge of SFC regulations, Fund Manager Code of Conduct, and Hong Kong asset management requirements.
• Experience dealing directly with regulators and managing regulatory inspections or licensing matters.
• Strong leadership, stakeholder management, and communication skills.
• Fluent English and Chinese (Cantonese and/or Mandarin).

Preferred

• Experience gained within private equity firms, institutional asset managers, sovereign wealth funds, pension funds, or alternative investment platforms.
• Familiarity with Greater China investment markets and cross-border fund structures.
• CFA, CAIA, CPA, FRM, or other relevant professional qualifications.
• Experience serving on investment, risk, or valuation committees.

What's on Offer

• Direct exposure to senior leadership and key business decision-makers.
• Opportunity to participate in strategic initiatives and business expansion plans.
• Visible leadership position with significant influence over the future development of the private markets business.