Type 9 RO /EO

• A reputable Asian Financial Institutiosn
• Unique Combination of Banking and Investment Banking Capabilities

About Our Client

Our client is a well-established Asian financial institution with a long-standing presence in Hong Kong and an active principal investment platform. As part of an existing team structure, the firm is seeking an experienced Type 9 Responsible Officer to join its Hong Kong business. This is a replacement hire and presents an opportunity to step into a mature investment platform with established governance, investment processes, and institutional backing.

Job Description

• Act as a Responsible Officer for Type 9 (Asset Management) regulated activities.
• Provide regulatory oversight and ensure compliance with all applicable SFC rules and requirements.
• Oversee the governance, compliance, risk management, and control framework supporting the investment platform.
• Work closely with senior management on regulatory, operational, and business matters.
• Liaise with regulators, auditors, legal counsel, and external service providers.
• Monitor investment management processes and ensure adherence to internal policies and regulatory standards.
• Support regulatory filings, inspections, audits, and ongoing compliance reviews.
• Advise on regulatory implications relating to investment activities, business initiatives, and strategic projects.
• Contribute to maintaining a strong control environment across the investment platform.

The Successful Applicant

• Current or previous SFC-approved Type 9 Responsible Officer.
• Ideally eligible to act as an Executive Officer (EO).
• 10+ years of relevant experience gained within asset management firms, investment platforms, banks, securities houses, family offices, private equity firms, or similar financial institutions.
• Strong understanding of Hong Kong SFC regulations, governance standards, and asset management operations.
• Experience overseeing discretionary investment activities and regulated investment management businesses.
• Sound judgement, strong stakeholder management skills, and the ability to engage effectively with senior management and regulators.
• Fluent English required; Chinese language skills would be advantageous.

Preferred Profile

• Experience gained within banking, principal investments, private equity, family office, or institutional investment environments.
• Familiarity with public and private market investments.
• Strong track record in regulatory oversight, governance, risk management, and compliance matters.
• Commercial mindset with the ability to partner effectively with investment teams while maintaining appropriate controls.

As this is a replacement hire for a key regulated position, candidates with immediate availability (or who can join within 1 month) are strongly preferred.

What's on Offer

• Join a reputable and financially strong Asian institution.
• Step into an established and well-supported investment platform.
• High-profile role with direct exposure to senior management and key decision makers.
• Long-term career opportunity within a stable and growing organization.