Type 9 Responsible Officer | Asset Management

  • Negotiable
  • Hong Kong
  • Permanent, Full time
  • Top Pool Human Capital Limited
  • 17 Jan 18 2018-01-17

Act as Responsible Officer to oversee, supervise the duties and operations of SFC type 9 Business based in Hong Kong.

Our client is a newly set up Asset Management firm and actively looking for experienced Type 9 RESPONSIBLE OFFICER to supervise the SFC Type 9 related activities.


  • Act as a Responsible Officer to manage the SFC Type 9 regulated activities and lead the team
  • Responsible for asset management, fund set-up, fund investment, etc.
  • To provide professional advice on investment, corporate finance related areas
  • Ensure all SFC regulatory compliances, codes and guidelines, i.e. through internal control, are met for smooth execution of transactions and financial activities
  • Build and maintain good relationships with stakeholders, such as shareholders, bankers, investors, issuers, and other co-operating institutions, etc.
  • Supervising and overseeing fund investment , compliance, operations, etc
  • Handling and risk monitoring
  • Building and executing trading strategies plan and promoting business products
  • Implementing and formulating the business plan to growing customer base
  • Providing advice, direction and guidance to the top management and corporate investors
  • Identify new opportunities or ideas and market information to clients or related parties
  • Market research, financial analysis, risk management, etc.


  • Degree or above in Finance, Economics, Accounting or related disciplines
  • Holder of SFC RO Type 9 Unconditional and/or Conditional
  • Minimum 8 solid years experience acted as Type 9 RO in Asset Management
  • Solid 5 years or above management experience of related activities
  • Good exposure and knowledge in H.K.Stock Market and Funds
  • Resourceful, Strong analytical, negotiation and communication skills, result-driven.
  • Fluency in both spoken and written English and Chinese (including Mandarin)

Please send an CV in Word format with current and expected salary plus availability in your application.

All information will be kept strictly confidential. 


Top Pool Human Capital Limited is a boutique recruitment and executive search firm which mainly focus on middle to senior executive positions for Banking & Financial sectors in Hong Kong, China and Asian Pacific regions.

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