Type 1, 4, 9 Responsible Officer

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Morgan McKinley Hong Kong
  • 23 Apr 19

An established firm with a strong client base in China is looking for a seasoned Type 1, 4, 9 Responsible Officer professional to join the team. The role is based in Hong Kong. Friendly and work-life balance culture with great compensation package

Job Duties:

  • Responsible to help acquire Type 1,4,9 license for the firm
  • Act as a Responsible Officer with management responsibilities and duties to supervise SFC Type 1,4,9 Regulated Activities
  • Cooperate with internal and external parties (e.g. lawyer, service providers and etc.)
  • Familiar with SFC regulations of Hong Kong and other product/fund domiciles
  • Responsible for fund operational procedures such as development, termination, agreements and quotation negotiations
  • Provide diversified financial services for overseas/ cross border investment and maintain the relationship with clients/investors


  • Existing SFC Type 1, 4, 9 unconditional RO
  • Experienced Type 1 and 4 representatives would also be considered if he/she is a current unconditional type 9 RO
  • Degree holder, preferably 6 - 10 years in asset management company
  • Good communication skills (Cantonese, English and Mandarin) with fair knowledge in Word, Excel and Powerpoint;
  • Ability to work in a team environment and out-going personalities with good interpersonal skills