Type 4,9 RO （Investment Management)

• A reputable SOE background of Chinese Asset Management company
• Steadily expanding across the region

About Our Client

A Shanghai-based, state-owned industrial and investment group with over four decades of experience in large-scale park development and operations. The firm focuses on industrial park investment, integrated enterprise services, and technology-driven industry incubation, supporting the growth of high-tech sectors including semiconductors, advanced manufacturing, and life sciences. It operates a broad portfolio of innovation parks and has built a strong ecosystem combining capital, industry resources, and government-backed strategic initiatives, playing a key role in regional economic development and cross-border investment activities.

Job Description

Key Responsibilities

• Act as Responsible Officer for Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities
• Ensure full compliance with SFC regulatory requirements, codes, guidelines, and ongoing licensing obligations
• Maintain and enhance internal compliance frameworks, policies, and procedures
• Serve as the primary point of contact with the Securities and Futures Commission (SFC)

Business & Operational Management

• Oversee the day-to-day operations of the Hong Kong asset management business
• Support business strategy execution, including product development and distribution initiatives
• Ensure robust risk management and internal control processes are in place

Cross-border Collaboration

• Work closely with Shanghai headquarters to align on investment strategy, governance, and reporting
• Facilitate effective communication and coordination between Hong Kong and Mainland teams
• Provide regulatory guidance on cross-border business activities

Governance & Reporting

• Participate in board-level discussions and provide regulatory updates
• Ensure timely regulatory filings and reporting obligations are met
• Oversee audits, inspections, and compliance reviews

The Successful Applicant

Experience & Qualifications

• Current or eligible to be approved as a Responsible Officer for Type 4 & Type 9 activities under the SFC
• Minimum 8-10+ years of experience in asset management, securities firms, or financial institutions
• Proven experience in Hong Kong regulatory compliance and SFC engagement

Technical Skills

• Strong understanding of SFC regulations, fund structures, and asset management operations
• Familiarity with cross-border investment frameworks between Mainland China and Hong Kong is highly preferred
• Experience in setting up or scaling a licensed entity is a plus

Personal Attributes

• Strong leadership and stakeholder management skills
• Ability to operate in a growing, entrepreneurial environment
• Detail-oriented with strong risk awareness and commercial judgment

Language

• Fluent in English and Mandarin (spoken and written)

What's on Offer

• Opportunity to play a foundational leadership role in a growing Hong Kong platform
• High visibility with senior stakeholders across Hong Kong and Shanghai
• Dynamic, entrepreneurial culture with strong backing from an established Mainland investment platform