Responsible Officer for Licensed Corporation
6 days ago
Responsible Officer for Licensed Corporation (Types 1, 4 and 9) Key Responsibilities 1. As Responsible Officer and Manager-in-Charge of Key Business Act as Responsible Officer of the Company for Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities; Assume full management and supervisory responsibility for the conduct and day‑day operation of the above regulated activities in accordance with the Securities and Futures Ordinance, all relevant codes, guidelines and circulars issued by the SFC, and the Company’s internal policies and procedures; Exercise effective supervision over all Licensed Representatives performing the regulated activities to ensure full regulatory compliance at all times; Review and approve (where required) key operational and client‑facing activities, including but not limited to order execution, client onboarding, investment recommendations, portfolio management decisions, and marketing materials. 2. As Manager-in-Charge of Information Technology Assume overall accountability for the governance, strategy, risk management and control of the Company’s information technology function; Oversee the design, development, implementation, operation and maintenance of all IT systems, infrastructure and applications used in or supporting the regulated Activities (including trading, portfolio management, client reporting and record‑keeping systems); Develop, implement and regularly review the Company’s IT governance framework, cyber‑security policies, data protection measures, and business continuity / disaster recovery plans; Identify, assess and mitigate IT‑related risks (including cyber‑security, third‑party vendor and outsourcing risks) and ensure compliance with the SFC’s circulars on cyber‑security and technology risk management; Manage relationships with IT vendors, cloud service providers and outsourcing partners. Candidate Requirements University degree or above in Finance, Economics, Business Administration, or a related discipline (advanced degrees or professional qualifications such as CFA, CPA or CAIA are a strong advantage); Currently holds unconditional Responsible Officer status for Type 1, 4 & 9 issued by the SFC; Minimum 10 years of relevant experience in asset management / fund management, of which at least 5 years in a senior or team‑leadership capacity; Proven fundraising track record and established investor network (institutional, family office, high‑net‑worth) in Greater China and/or Asia‑Pacific; Solid hands‑on experience in IT governance and technology risk management within an SFC‑licensed corporation, including: Overseeing IT system development, cybersecurity, cloud infrastructure, and outsourcing arrangements; Implementing or managing systems for portfolio management, order management, risk monitoring, or client reporting; Familiarity with the SFC’s Cybersecurity Guidelines, Technology Risk Management Circulars, and Internet Trading / Cloud Computing requirements; In‑depth knowledge of the SFC regulatory framework (SFO, FMCC, licensing regime, AML/CFT, MIC regime) and ability to act as Manager‑in‑Charge of Information Technology; Strong leadership, communication, and stakeholder‑management skills with a demonstrated ability to lead both investment and technology teams; Fluent in English and Chinese (both Cantonese and Mandarin) – spoken and written. Job Location Sheung Wan, Central and Western District, HK #J-18808-Ljbffr
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Hong Kong Island, Hong Kong SAR China Acts Consulting Co. 毅知顧問公司 Full timeSFC Responsible Officer Type 6 with PS license Responsible for overseeing corporate finance transactions and ensuring compliance with regulatory and internal policies. Job Responsibilities Manages and leads the execution of IPO sponsor, FA, IFA and other corporate finance transactions, including project management/coordination, due diligence and project...
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Licensed Responsible Officer
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Hong Kong Island, Hong Kong SAR China Grande Capital Limited Full timeLicensed Responsible Officer (RO) for Securities We are seeking a highly qualified Licensed Responsible Officer (RO) with dual Hong Kong Securities and Futures Commission (SFC) Type 1 (Securities Trading) licenses to oversee our securities and equity investment operations. The ideal candidate will possess in-depth knowledge of Hong Kong’s regulatory...
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Responsible Officer
6 days ago
Hong Kong Island, Hong Kong SAR China Links International Full timeResponsibilities Lead the application process for SFC Type 1, Type 4, and Type 9 licenses for a newly established financial institution Prepare and submit all required documentation to the SFC, ensuring complete compliance with regulatory requirements Develop and implement all necessary policies, procedures and internal controls required for license approval...
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Senior SFC Type 6 Responsible Officer
6 days ago
Hong Kong Island, Hong Kong SAR China Delken Group Limited Full timeA leading Corporate Finance Company in Hong Kong is seeking a Responsible Officer. The candidate should have over 5 years of experience in Corporate Finance, hold an SFC Responsible Officer license for Type 6 RA, and be proficient in English, Chinese, and Mandarin. Responsibilities include leading financial advisory projects and ensuring compliance with...
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Responsible Officer
6 days ago
Hong Kong Island, Hong Kong SAR China Delken Group Limited Full timeResponsible Officer Our client is a leading Corporate Finance Company. Responsibilities Lead the projects and activities of corporate finance and advisory services Define strategic planning to drive Corporate Finance businesses with the objective to maximize the company interest and investment returns Supervise the execution of financial advisory projects...
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Hong Kong Island, Hong Kong SAR China Kubelt Full timeA leading financial services firm in Hong Kong is seeking a Responsible Officer to oversee licensing and regulatory compliance. The ideal candidate will have at least 10 years of experience and be a current holder of Type 1 and Type 4 licences. Responsibilities include liaising with regulatory bodies, developing compliance plans, and supervising regulated...
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Part-Time Responsible Officer
4 days ago
Hong Kong Island, Hong Kong SAR China Linkxworld Limited Full timeA corporate finance firm in Hong Kong is seeking a part-time Responsible Officer to manage compliance in daily operations. Responsibilities include overseeing regulated activities and implementing good governance policies. Candidates should possess at least 3 years of relevant management experience in financial institutions, hold a current unconditional RO...
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hong kong, Hong Kong SAR China Hex Trust Full timeA digital asset service provider in Hong Kong is seeking a Responsible Officer to oversee licensing processes and ensure compliance with regulatory standards. The ideal candidate will hold SFC Type 1 and 4 licences, have over 10 years of experience in financial services, and possess strong analytical and communication skills. This position offers a...
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Senior Responsible Officer – SFC Licensing
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Hong Kong Island, Hong Kong SAR China CO FINANCIAL SERVICES LIMITED Full timeA financial services startup in Hong Kong is seeking a qualified compliance officer to assist with regulatory licensing applications and ensure business operations meet compliance standards. Candidates should have at least 5 years of industry experience, including fund management expertise and a firm grasp of regulatory requirements. The position offers an...
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Responsible Officer with SFC Type 4
6 days ago
Hong Kong Island, Hong Kong SAR China CENTURY CITY ASSETS MANAGEMENT (HK) LIMITED Full timeResponsible Officer with SFC Type 4 & 9 licenses Add expected salary to your profile for insights Implementation of investment strategies and policies to achieve strategic return and meet risk objectives Screen investment projects, prepare analysis at various stages and be responsible for the trade execution Conducting investment research, modelling and...
