Responsible Officer (RO) SFC type 1, 4, 9
Job Description
A private equity investment firm licensed by the Securities and Futures Commission (SFC) for Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management) regulated activities. Based in Hong Kong, their focus is on PE funds and mergers & acquisitions in mainland China.
Responsibilities:
• Serve as Responsible Officer overseeing SFC Type 1, 4, and/or 9 licensed activities
• Ensure full compliance with SFC regulatory requirements across investment and advisory functions
• Lead due diligence, risk management, and operational controls related to mutual funds and M&A transactions
• Maintain effective communication with regulatory bodies, including SFC
• Guide strategic development of investment products and asset management services
• Supervise and train licensed representatives to uphold professional standards
Requirements:
• Approved Responsible Officer for Type 1, 4, and/or 9 regulated activities by the SFC
• Bachelor’s degree or above in Finance, Business Administration, Economics, or related disciplines
• Minimum 3 years of relevant experience in securities dealing, advisory, or asset management
• Fluent in English and Putonghua, both spoken and written
• Solid understanding of China-focused investment strategies
• Strong leadership and analytical abilities
• Highly flexible working hours
• Location: Hong Kong Island
Contact information:
Job Application: resume@amazinhr.com
Telephone: +852 2572 8630
Website: www.amazinhr.com
