Type 4,9 RO - Private Equity Fund

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

Job summary

Michael Page International (HK) Ltd seeks a senior regulatory and investment oversight professional in Hong Kong. You will act as Responsible Officer for Type 4 and Type 9 activities, ensuring compliance with SFC regulations and guiding governance, risk management, and licensing matters.

You will lead private equity fund launches, work with cross-functional teams, and support investment governance and regulatory reporting. Fluency in English and Chinese is required.

Qualifications

• Minimum 8 years of experience in asset management, private equity, funds or advisory.
• Proven track record launching or overseeing private equity funds.
• Fluent English and Chinese (Cantonese/Mandarin).

Responsibilities

• Serve as a Responsible Officer for Type 4 and Type 9 activities under SFC rules.
• Ensure compliance with SFC regulations, codes, guidelines, and licensing.
• Maintain governance, risk management, and internal controls.
• Act as regulator liaison; oversee regulatory reporting, inspections, and licensing.
• Provide guidance to senior management on regulatory developments.
• Participate in investment governance and portfolio oversight.
• Oversee private equity fund launches and related platforms.
• Develop investment governance frameworks, procedures, valuation, and risk controls.

Skills

Regulatory compliance

Stakeholder management

Regulatory reporting

Leadership

Education

CFA/CAIA/CPA/FRM

Tools

Regulatory reporting systems

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.


• 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.

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.


• 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.

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.

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

• 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.

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.

• 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.