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Responsible Officer Type 4, 9

  • Location

    Hong Kong

  • Sector:


  • Job type:


  • Salary:

    $600,000 - $900,000 (HKD, base salary) + Bonus

  • Contact:

    Joyce Wang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    10 months ago

  • Expiry date:


As part of their strategic transformation initiatives, my client, traditionally a fund service provider is expanding their reach into the Investment Management space.

They are looking for a driven and energetic Responsible Officer candidate with an entrepreneurial mindset to work directly with the MD to build out their new business.


MUST be Type 4, 9 license holder;

Active RO status or Type 1 license holder will be a huge advantage.



  • Be the sole/non-sole RO for SFC Type 1, 4, 9 regulated activities
  • Work closely with MD and other team heads in managing private funds (both primary and secondary market) and discretionary portfolios
  • Effectively monitor and control investment risk and formulate investment strategies based on market research to improve portfolio performance
  • Advise internal and external stakeholders on the latest trends in the equity market and equity instruments
  • Maintain sound relations with existing clients and potential investors
  • Proactively participate in new product development and manage daily operations to ensure full regulated compliance



  • Bachelor’s degree (Economics, Finance, Accounting or related disciplines)
  • A holder of valid SFC license for Type 1, 4, 9 regulated activities
  • 3+ solid years in managing Bond Funds, Direct Investment, and PE Funds is a MUST
  • Experience in Retail Fund (key Investment personnel), fund structure set up will be a huge advantage
  • 4+ years in supervisory or people management capacity
  • Immediately available is highly preferred but not required 
If you are interested in this or similar roles, please contact Joyce Wang at