Multiple Principal and Non Sole Responsible Officer (RO) Vacancies (SFC Types 1, 4, 9)
Based in Hong Kong SAR China
Core
Act as a Principal or Non-Sole Responsible Officer (RO) for SFC licensed entities in Asset Management and Private Equity/Family Office, ensuring compliance with SFC regulations.
Role type
Principal and Non-Sole Responsible Officer (RO)
Builds
Licensed financial entities for Asset Management and Private Equity clients
Domain
Financial Services / Asset Management / Private Equity
Deliverable
client delivery
Required skills
SFC Type 1, 4, 9 license, SFC regulatory compliance knowledge, independent work
Preferred skills
Mandarin fluency
Technologies
N/A
Responsibilities
Supervise day-to-day operations to ensure SFC compliance, develop and monitor compliance policies, serve as key contact for SFC matters
Seniority
Senior, hands-on IC