RO 9 Operations - ETF

A leading UK asset management firm seeks a Responsible Officer (Type 9) in Hong Kong to strengthen fund governance, risk management, and regulatory compliance across public and alternative funds.

Responsible Officer (Type 9) - Public & Alternative Fund Management

The firm is looking for a middle office professional with public fund operations, compliance investment governance restrictions, risk, and portfolio construction, including at least 5 years’ recent experience in managing public funds in operation.

Key responsibilities:

• Oversee daily public fund operations, ensuring compliance with SFC regulations and internal governance standards
• Collaborate with investment teams to implement compliance frameworks for public and alternative fund strategies, promoting regulatory adherence
• Guide portfolio construction and risk management, supporting innovative investment solutions within retail wrappers
• Monitor investment restrictions across UCITS, SEC-registered retail funds, ETFs, private credit, PE, real assets, and hedge strategies; review fund performance metrics and risk exposures in response to market changes
• Mentor middle office professionals through training and knowledge sharing, while partnering with senior management to develop policies that improve operational efficiency and foster an inclusive workplace
• Collaborate with cross-functional teams to design new fund products and share alternative asset management best practices; maintain clear communication with clients, regulators, auditors, and internal teams, ensuring accurate and timely reporting

Candidate profile:

• SFC Status: Current RO (Type 9) or immediately eligible for approval
• Management Experience: 5+ years managing investment teams at reputable institutions (global asset managers, leading alts firms, major bank AM divisions, established HK managers)
• Public Funds: 5+ years recent managing SFC-authorised funds or equivalent (UCITS, SEC-registered retail funds, ETF)
• Alternative Assets: Proven track record managing alternative strategies within public funds (private credit, PE, real assets, hedge strategies in retail wrappers) (preferred)
• Qualifications: Bachelor's degree + CFA/CAIA preferred; HKSI Papers 1, 7, 11, 12 (or exemption-eligible)
• Record: Clean regulatory history-no SFC, SEC, FCA disciplinary actions

About this company:

This asset management firm is committed to operational excellence across public and alternative funds. It offers an inclusive and supportive working environment, flexible working opportunities, competitive benefits, and ongoing training to support employee growth and long-term development.

Keywords: Fund Operations, Type 9, Compliance, Risk Management, Portfolio Construction

What’s next:

Take the next step in your career by shaping fund governance, strengthening risk management, and driving operational excellence. Apply today!