About Our Client:
A leading institutional investment research platform is launching a new business unit in Hong Kong. As a pioneer in fintech connecting global investors and listed companies, they seek a Responsible Officer (Type 1, 4, 9) to lead this strategic expansion and oversee regulatory compliance for their new regional office business unit.

Job Responsibilities:

• Supervise corporate strategy execution to ensure full compliance with SFC regulations; file regulatory disclosures and updates with the SFC as required.

• Leverage at least 2 years of team management experience to oversee the daily operations of the investment team.

• Lead the firm's SFC Type 1, 4, and 9 license applications and ongoing maintenance; coordinate communications between the firm and the SFC; manage the RO/LR team's staffing and qualification compliance.
  

Job Requirements:

• Satisfy all five of the SFC's competency criteria for ROs regarding: academic / professional qualifications, relevant industry experience, recognized industry qualifications or additional ongoing training, management experience, and local regulatory framework examinations.

• Hold a professional degree in Finance, Accounting, Law, Business Management, or a related field (with 3+ years of post-degree work experience if degree is not directly in these areas). CFA, CPA, or FRM certifications are strong advantages.

• Possess at least 3 years of relevant industry experience within the last 6 years (securities, futures, asset management, investment advisory, etc.), with experience in private equity, secondary market equity investing, or quantitative trading. Prior SFC Type 4 / Type 9 RO or licensed representative experience in Hong Kong is highly preferred.

• Excellent bilingual communication skills in English and Chinese (Mandarin), with the ability to engage professionally with offshore institutional investors. Cantonese proficiency is a plus.