Responsible Officer - SFC Type 1, 4 & 9

Salary :

$51,000 - 60,000 yearly

Company : Morgan Mckinley

Job Type : Full Time

Hong Kong

Job Description - Responsible Officer - SFC Type 1, 4 & 9

Responsibilities:

Type 1 License Setup & Operations: Drive the setup, and day-to-day oversight of Type 1 dealing activities (including fund distribution, placement, and related trading/dealing operations).
CEO Strategic Projects: Collaborate closely with the CEO on high-priority strategic initiatives, offshore structure setups, and business expansion projects.
Fund & Offshore Operations Support: Oversee and manage offshore fund structures (e.g., Cayman and BVI funds), handling operational workflows, and investor setup.
SFC Compliance & Supervision: Act as an SFC-approved Responsible Officer for Type 1, 4, and 9 activities; ensure strict adherence to the SFO, SFC Codes of Conduct, AML/CFT policies, and continuous compliance protocols.
Regulator Liaison: Serve as the primary point of contact with the Hong Kong Securities and Futures Commission (SFC) for licensing matters, audits, and routine regulatory communication.
Team Leadership & Culture: Work within a lean, agile environment, mentoring junior operational staff and fostering a collaborative team spirit.

Requirements:

Currently holding or previously held SFC Responsible Officer (RO) status for Type 1, 4, and 9 (unconditional RO status preferred).
Strong track record in asset management, securities dealing, or brokerage setup, ideally with ~7 to 12 years of overall professional experience.
Proven hands-on experience managing and structuring offshore vehicles, specifically Cayman Islands and BVI fund structures.
Strong preference for a energetic, proactive professional comfortable working directly with executive leadership (CEO) in an agile, entrepreneurial setting.
Deep familiarity with Hong Kong SFO regulations, SFC operational guidelines, fund operations, and Type 1 dealing workflows.
Excellent command of written and spoken English and Putonghua/Cantonese to liaise with internal teams, CEO projects, and regulators effectively.

Original job Responsible Officer - SFC Type 1, 4 & 9 posted on GrabJobs ©. To flag any issues with this job please use the Report Job button on GrabJobs.

Share Job

Get your Resume Reviewed for Free

Similar Responsible Officer Jobs in Hong Kong

Get your Resume Reviewed for Free

Email address

Why are you reporting this job?

I think it’s a discriminatory or offensive

I think it’s fraudulent or a scam

I think it’s trying to sell something unrelated to the job / it’s asking for money

I think it contains incorrect or broken information

Other

All Job Ads are subject to GrabJobs’s Terms of Service. We allow users to flag postings that may be in violation of those terms. Job Ads may also be flagged by GrabJobs moderation team. However, no moderation system is perfect, and flagging a posting does not ensure that it will be removed.

Setup your job alert:

Frequency

By activating job alerts, I agree to GrabJobs Terms & Privacy Policy. I can unsubscribe to job alerts anytime. Skip

Responsible Officer - SFC Type 1, 4 & 9

Job Description - Responsible Officer - SFC Type 1, 4 & 9

Similar Responsible Officer Jobs in Hong Kong

Mobile Apps