Responsible Officer (Type 1, 4 & 9)

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Five States Capital Resources Limited
  • 23 Mar 18 2018-03-23

Based in Hong Kong, this high-profile Responsible Officer (Type 1, 4 & 9), will play a critical role of portfolio management within Five States Capital Resources Limited and will have these key responsibilities:


  • Act as a Responsible Officer to supervise SFC Type1, 4 & 9 regulated activities  
  • Responsible for fundraisingbusiness development and client facing activities 
  • Manage a portfolio of investments and to provide investment advisory services and investment research reports to investors
  • Determine the strategic investment direction and management of the investment function
  • To analyze ideas for new investment strategies and potential products generated by the investment and distribution areas
  • Assist in license application and SFC liaison 
  • Supervise and manage daily operations to ensure full regulatory compliance
  • Perform other duties as assigned


  • Professional qualification and/ or university degree in Accounting, Business or Finance is preferred;
  • 5 years or above solid portfolio management experience from asset management / securities firms are highly preferred;
  • Current holder of SFC Type 1, 4 & 9 (Unconditional) RO or
  • Current type1, 4 & 9 representative license holder for minimum 3 years records (qualified to apply for RO)
  • Current holder of other license is a plus (e.g. Type 6 and etc.)
  • Good command of written and spoken Cantonese, English, and proficient in Mandarin

For interested parties, please kindly click on the APPLY button to submit your updated CV with current and expected package