Responsible Officer (Type 9) Private Credit/Private Equity

A leading asset management firm seeks a Responsible Officer (Type 9) in Hong Kong to oversee private credit and equity operations, strengthen regulatory compliance, and drive business growth.

Key responsibilities:

• Serve as an SFC-approved Responsible Officer for Type 9 regulated activity and provide effective supervision of the firm’s asset management business
• Oversee fund management operations, including investment governance, portfolio and trade oversight, valuation, reconciliations, reporting, and service-provider management
• Support fundraising activities, including investor engagement, preparation of marketing materials, due diligence, and transaction coordination
• Maintain compliance with applicable SFC requirements, license conditions, internal policies, risk limits, and regulatory obligations
• Enhance operational procedures, internal controls, compliance monitoring, and risk management frameworks in line with business growth
• Lead regulatory submissions, inspections, audits, licensing matters, and engagement with regulators and professional advisers
• Partner with senior management and the investment, compliance, operations, and finance functions to support disciplined execution
• Assist in originate private credit and cross-border investment opportunities through market coverage, intermediary relationships, and preliminary screening
• Assist in project execution from initial assessment and structuring through due diligence, approval, documentation, closing, and post-investment monitoring
• Identify, escalate, and oversee the remediation of regulatory, investment, operational, and conduct risks

Candidate profile:

• Minimum five years’ relevant experience spanning fund management and fund operations
• Current SFC approval as a Responsible Officer for Type 9 regulated activity is mandatory
• Sound knowledge of Hong Kong asset management regulation, compliance obligations, operational controls, and recognised industry practices
• Hands-on experience across the fund lifecycle, ideally involving private credit, alternative investments, or real estate-backed strategies
• Commercial judgement, high integrity, attention to detail, and the ability to communicate effectively with senior stakeholders and regulators
• Degree in finance, accounting, economics, business, law, or a related discipline; relevant professional qualifications are advantageous

About this company:

This asset management organisation is committed to responsible investment practices, operational excellence, and sustainable growth across financial markets. With a collaborative and inclusive working environment, it supports professional development, continuous learning, and innovation while empowering employees to contribute to long-term business success.

Keywords: Asset Management, Type 9, Private Credit, Private Equity, Regulatory Compliance

What’s next:

Elevate your career while shaping investment strategies and strengthening compliance across private credit and equity. Apply now!