Responsible Officer(Type 4&9)- Chinese asset management firm

Job Title: Responsible Officer(Type 4&9)- Chinese asset management firm
Contract Type: Permanent
Location: Hong Kong
Reference: GW170531-3
Contact Name: Gordon Wang
Contact Email:
Job Published: June 01, 2017 16:21

Job Description

Our Client is a listed Chinese asset management firm that is looking for RO4&9.



  • Involved in applying SFC license, supervise and implement the Company's asset management business plan.
  • Monitor, review and update daily operations & regulated activities in compliance with SFC
  • Act as Responsible Officer to supervise SFC Type 4 & 9 regulated activities;
  • Oversee the related business operations of the company and ensure the operations are complied with SFC regulations
  • Provide support and assist to senior management on firm’s investment function




  • Degree holder in Law, Finance or Business related discipline
  • Minimum 5 years of solid experience in asset management/private equity/ asset management/ investment management area
  • Current holder of SFC Responsible Officer license of Type 4 & 9 or Type 9
  • Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
  • Ability to work under pressure, with strong analytical, leadership, presentation and interpersonal skills
  • Fluency in English, Cantonese, and Mandarin is a MUST
  • Immediate availability is highly preferred

If interested, please send your CV along with your current and expected salary to: AND CC 

Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you