Responsible Officer (RO)

Key Responsibilities 1. Regulatory Governance & SFC Liaison Act as the designated Sole Responsible Officer under the Hong Kong Securities and Futures Ordinance (SFO) for Type 4 and Type 9 regulated activities. Primary accountability for ensuring all corporate operations, investment advisory, and asset management activities comply fully with SFC codes, rules, and guidelines (including the Code of Conduct and AML/CFT Guidelines ). Serve as the main point of contact for the SFC on regulatory filings, routine reporting, regulatory inquiries, audits, and licensing updates. Fulfill designated Manager-in-Charge (MIC) responsibilities across assigned core operational functions. 2. Asset Management & Portfolio Oversight (Type 9) Supervise discretionary portfolio management services and managed accounts. Formulate, review, and execute investment strategies, asset allocation models, and portfolio risk management frameworks. Oversee investment committees, portfolio construction, transaction execution, and trade order allocation to ensure fair treatment of client accounts. Oversee fund operations, valuation, fund accounting, and tier-1 global custodian arrangements. 3. Investment Advisory Oversight (Type 4) Supervise the research, analysis, and generation of securities investment advice and trade recommendations provided to high-net-worth and institutional clients. Ensure all advisory recommendations meet strict suitability requirements, client risk profiling, and KYC guidelines. Review advisory materials, investment notes, and client communications prior to distribution. 4. Compliance, Risk & Operational Oversight Design, implement, and periodically update internal control policies, operational manuals, risk controls, and AML/KYC procedures. Monitor market risk, operational risk, counterparty risk, and liquidity risk across all managed portfolios and client accounts. Supervise Licensed Representatives (LRs) and operational staff, enforcing high ethical standards and monitoring Continuing Professional Training (CPT) compliance. Key Requirements & Qualifications Regulatory & Professional Qualifications SFC License Status: Currently holds or is eligible for immediate approval as an Unconditional Responsible Officer (RO) for SFC Type 4 and Type 9 regulated activities. Education: Bachelor’s degree or above in Finance, Economics, Business Administration, Law, Accounting, or a related discipline. Professional designations such as CFA, CAIA, or CPA are highly preferred. Experience Total Experience: Minimum 6 to 8+ years of relevant experience in private banking, wealth management, hedge funds, or asset management in Hong Kong. RO Experience: Minimum 3 years of proven experience acting as an active SFC Responsible Officer (Type 4 & 9). Experience in setting up an SFC-licensed corporation from inception or acting as a Sole/Lead RO is a distinct advantage. Experience in EAM service, with solid reationship with Private Bank is a must. Knowledge & Competencies Comprehensive understanding of the Hong Kong Securities and Futures Ordinance (SFO) , SFC codes, AML/CFT regulations, and market practices. Strong track record in global multi-asset portfolio management (equities, fixed income, alternatives, structured products). Proven capability to establish internal control frameworks, policies, and risk governance structures. Strong leadership, decision-making, and communication skills.