Responsible Officer 9 (Sole) – PRC F.I.

Our client is a PRC based Financial Institution, currently holding SFC licenses 1, 4 & 6. To cope with its expansion, they are going to establish the business in Asset Management with License 9 operation in Hong Kong. They are now inviting high caliber with strong PE / Investment RO9 experience to lead the business.


  • Report to the CEO in Beijing
  • To build the Private Equity Team in HK, with both primary & secondary market investment
  • To lead the sales activities in the region, with good connection in PRC market
  • Devise, review and implement investment policy and strategy, as well as new investment products
  • To construct portfolio construction and asset allocation process for multiple investment portfolios/ funds in both Fixed Income & Equities Products
  • Identify potential target investors to build up new client base
  • Ensure that sales performance are meeting the company target
  • Develop policies and procedures to govern private wealth end-to-end operations with support of relevant stakeholders
  • Ensure all regulatory requirements relating to operating a wealth management business are adhered to


  • Degree holder of finance or other related discipline
  • Current holder of unconditional SFC licensed Responsible Officer (Type 1, Type 4 and Type 9) 
  • At least 8 years relevant working experience in the asset sales and management Result oriented, self-motivated and demonstrating excellent management and leadership skills
  • Good command of spoken and written English and Chinese, proficiency in Putonghua is preferable




RO9 (uncondition)


Enquiry: (852) 2520 0104

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