Responsible Officer
4 days ago
About Client: Our client is a well-established and rapidly growing financial services group with a significant focus on alternative investments. We are dedicated to excellence, innovation, and maintaining the highest standards of regulatory compliance and client service. As part of our strategic expansion in the Asia‑Pacific region, we are seeking a highly experienced and dynamic individual to join our leadership team. The Role: We are looking for a seasoned Senior Responsible Officer (RO) to oversee and lead our Type 1, 4, and 9 licensed activities, with a primary focus on our private fund business. This is a senior position offering the opportunity to shape the future of our fund management and dealing and advising services. The successful candidate will be a key member of the management team, responsible for ensuring robust regulatory compliance while driving business growth. Key Responsibilities Act as a Responsible Officer for SFC Licenses Type 1 (Dealing in Securities), Type 4 (Advising on Securities), and Type 9 (Asset Management). Provide senior management oversight of the firm’s private fund activities, including fund structuring, launch, marketing, and ongoing management. Ensure all regulated activities are conducted in full compliance with the SFC’s Code of Conduct and all relevant ordinances and regulatory requirements. Develop, implement, and review the firm’s compliance manuals, policies, and internal control procedures. Serve as the primary point of contact with the SFC, managing all communications, licensing applications, and regulatory inquiries. Conduct regular compliance monitoring and reviews to identify and mitigate potential risks. Qualifications and Experience Current SFC Responsible Officer 1, 4, 9 status with a clean regulatory record. Minimum of 10 years of proven and relevant experience in the private fund business within Hong Kong. Solid and hands‑on experience in managing SFC licensed corporations holding Types 1, 4, and 9. In‑depth knowledge of the Securities and Futures Ordinance (SFO), SFC Handbook, and other applicable laws and regulations. Proven track record in structuring, launching, and managing private equity or other alternative investment vehicles. Strong leadership skills with experience in managing and developing a team. Excellent communication, interpersonal, and stakeholder management skills. University degree in Finance, Law, Business Administration, or a related field. A Master’s degree or professional qualifications (e.g., CFA, FRM) would be highly advantageous. Fluency in English and Cantonese; Mandarin proficiency is a strong plus. What We Offer A competitive and attractive remuneration package, including performance‑based bonuses. A senior leadership role with significant autonomy and influence. The opportunity to build and shape a leading private funds platform. A collaborative and professional working environment. How to Apply To apply, please send your detailed resume for a confidential discussion. Only shortlisted candidates will be notified. Applicants who are not contacted within two weeks may consider their applications unsuccessful. All data collected will be used for recruitment purposes only and will be strictly confidential. Conners Consulting Limited 2005 Kai Tak Commercial Building 317 Des Voeux Road Central Hong Kong Tel: Website: Employment Agency Licence No.: 77134 #J-18808-Ljbffr
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