Senior Responsible Officer

Covering Licenses: SFC Type 1, 4, 9 | TCSP | Money Lending (ML)

Reports to: CEO - Hong Kong

Location: Hong Kong

A well-established conglomerate with an under-leveraged portfolio of Hong Kong licenses – SFC Types 1, 4, 9, TCSP (Trust or Company Service Provider), and Money Lending (ML) is looking for a strategic commercial leader who can look at this license suite holistically, identify cross-selling and structural opportunities, and turn regulatory capacity into revenue.

Strategic License Utilization (Primary Focus)

1. Analyse existing license holding (SFC 1,4,9 + TCSP + ML) and develop a roadmap to maximise commercial use – including fund structures (OFC/LPF via TCSP), private credit (via ML), and integrated wealth/asset management.
2. Identify regulatory compliant overlaps: e.g., TCSP for fund administration + Type 9 for management + ML for shareholder loans or bridge financing.
3. Advise the CEO and Group on which license combinations unlock new client segments (family offices, SMEs, institutional counterparties).

Business Development & Partnership Building

1. Build and nurture relationships with banks (prime brokers, custodians, lending desks), law firms, audit firms, and family office gatekeepers.
2. Originate and structure cross-license solutions – e.g., a single family office solution combining Type 4 advice, Type 9 management, TCSP trustee services, and ML-backed liquidity.
3. Drive revenue through mandates, fund placements, credit facilities, and corporate service packages.

RO & Oversight Duties

1. Serve as (or supervise) the Responsible Officer for Types 4 and 9 (Type 1 optional but available). Ensure compliance oversight across all licensed activities.
2. Work with existing compliance teams to maintain manuals, AML/CTF, and SFC/Company Registry/Police (for ML) reporting standards.
3. Act as the primary regulatory liaison for SFC, Companies Registry (TCSP), and Money Lending license authorities.

Internal Collaboration

1. Work closely with the HK CEO on board reporting, risk appetite, and new product approvals.
2. Coordinate across group entities (e.g., treasury, legal, corporate finance) to ensure seamless execution.

1. Licensing Status: Currently holds (or has recently held) SFC RO status for Type 9 (Type 4 strongly preferred; Type 1 a plus).
2. Multi-License Experience: Demonstrable experience working across at least two of the following: SFC asset management, TCSP, or money lending in Hong Kong.
3. Strategic Mindset: You do not just "comply." You see commercial angles within regulatory frameworks.
4. Network: Established relationships with banks, law firms, auditors, or family offices in Hong Kong.
5. Language: Fluent in English and Chinese (Mandarin required)
6. Track Record: Clean SFC / regulatory record.

1. Experience setting up or operating OFC / LPF structures using a TCSP license.
2. Exposure to private credit or structured lending under Money Lending ordinance.
3. Existing relationships with prime brokers or private banks that can be activated quickly.

1. An incentive based reward package based on salary and performance bonus tied to HK entity profitability.