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about the company. ...

Our client is a rapidly expanding Multi-Family Office (MFO) and External Asset Manager (EAM) with a strong footprint in Hong Kong. They cater exclusively to ultra-high-net-worth (UHNW) families, providing bespoke investment solutions, cross-border wealth preservation structures, and institutional-grade asset management services marked by discretion, innovation, and long-term partnership.

about the team.The investment team consists of seasoned financial professionals dedicated to alpha generation and rigorous risk management. Operating in a flat and agile structure, the team thrives on open communication, collective expertise, and a shared commitment to client success. They collaborate closely with top-tier prime brokers, custodians, and external legal counsel.

about the job.

Oversee end-to-end trade execution for diverse portfolios, including equities, fixed income, FX, and alternative investments such as private funds and structured products.
Manage cash flows and liquidity across client portfolios to ensure strict alignment with established investment strategies.
Maintain and optimise relationships with prime brokers, custodians, and external liquidity providers to enhance execution quality and minimise transaction costs.
Provide timely trade updates and comprehensive performance reporting to the Investment Committee and individual family clients.
Act as a licensed Responsible Officer (RO) under the SFO for Type 1, 4, and 9 regulated activities, ensuring all business operations meet SFC conduct and financial resource rules.
Oversee day-to-day operations to ensure absolute adherence to internal policies, AML/KYC protocols, and data privacy regulations.
Serve as the primary point of contact for the Securities and Futures Commission (SFC) regarding regulatory inquiries, audits, and periodic filings.
Monitor investment and operational risks, ensuring activities remain within the mandated risk appetite of UHNW clients.

skills & experiences required.

Currently registered, or immediately eligible to register, as an SFC Responsible Officer (RO) for Type 1, 4, and 9 regulated activities.
Minimum 8 years of experience in an investment-focused or trading role within private banking, asset management, or a reputable multi-family office.
Deep familiarity with institutional trading platforms (e.g., Bloomberg/EMS), financial modelling, and cross-border investment structures, including Hong Kong CIES requirements.
Strong communication skills with a client-first mindset, comfortable explaining complex execution or regulatory decisions to UHNW families.
Bachelor’s degree in Finance, Economics, or Law; professional designations such as CFA or CAIA are highly preferred.
Fluency in English is required, and proficiency in Cantonese or Mandarin is highly advantageous for client management.

about the company.
Our client is a rapidly expanding Multi-Family Office (MFO) and External Asset Manager (EAM) with a strong footprint in Hong Kong. They cater exclusively to ultra-high-net-worth (UHNW) families, providing bespoke investment solutions, cross-border wealth preservation structures, and institutional-grade asset management services marked by discretion, innovation, and long-term partnership.

about the job.

Oversee end-to-end trade execution for diverse portfolios, including equities, fixed income, FX, and alternative investments such as private funds and structured products.
Manage cash flows and liquidity across client portfolios to ensure strict alignment with established investment strategies.
Maintain and optimise relationships with prime brokers, custodians, and external liquidity providers to enhance execution quality and minimise transaction costs.
Provide timely trade updates and comprehensive performance reporting to the Investment Committee and individual family clients.
Act as a licensed Responsible Officer (RO) under the SFO for Type 1, 4, and 9 regulated activities, ensuring all business operations meet SFC conduct and financial resource rules.
Oversee day-to-day operations to ensure absolute adherence to internal policies, AML/KYC protocols, and data privacy regulations.
Serve as the primary point of contact for the Securities and Futures Commission (SFC) regarding regulatory inquiries, audits, and periodic filings.
Monitor investment and operational risks, ensuring activities remain within the mandated risk appetite of UHNW clients.

skills & experiences required.

Currently registered, or immediately eligible to register, as an SFC Responsible Officer (RO) for Type 1, 4, and 9 regulated activities.
Minimum 8 years of experience in an investment-focused or trading role within private banking, asset management, or a reputable multi-family office.
Deep familiarity with institutional trading platforms (e.g., Bloomberg/EMS), financial modelling, and cross-border investment structures, including Hong Kong CIES requirements.
Strong communication skills with a client-first mindset, comfortable explaining complex execution or regulatory decisions to UHNW families.
Bachelor’s degree in Finance, Economics, or Law; professional designations such as CFA or CAIA are highly preferred.
Fluency in English is required, and proficiency in Cantonese or Mandarin is highly advantageous for client management.

experience
8 years
skills
Dealer / Responsible Officer / Multi-Family Office / External Asset Manager / Trade Execution
qualifications
SFC Type 1,4,9 Licenses are required.
education
Bachelor Degree

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summary

central and western district
HK$40,000 - HK$45,000 per month, discretionary bonus
permanent
full-time

specialism
banking & financial services
sub specialism
middle office & operations
reference number
91M0271501_5310450153235497580

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responsible officer (ro) / dealer - type 1, 4 & 9.

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