SFC Responsible Officer — Compliance

A financial services company in Hong Kong is seeking a qualified Responsible Officer to oversee Type 1, 4 & 9 regulated activities. The ideal candidate will be responsible for ensuring compliance with SFC regulations, managing operational duties, and liaising with various stakeholders. A bachelor's degree in a relevant field and at least three years of...

SFC Responsible Officer (RO) – Type1,4,9 Seazen Resources Capital Group Limited is seeking an experienced and hands‑on Responsible Officer (Type 1&4&9) to join our team. In this full‑time role, you will play a crucial part in ensuring the firm's compliance with regulatory requirements and drive the growth of our business. Key Responsibilities Lead and...

About the role We are seeking an SFC licensed representative who is qualified to act as a Responsible Officer (RO) to conduct Type 1, 4 and 9 regulated activities. The role entails assisting with the license application, ensuring all business activities strictly adhere to SFC regulations, and upholding the highest ethical standards. We accepts full-time...

Avenir Capital is a pioneering investment group dedicated to the strategic integration of traditional finance and digital assets, driving innovation to build a leading financial ecosystem and infrastructure. Through an integrated framework of Investment, Incubation, and Operations, the group focuses on digital asset management, trading and financial service...

SFC Responsible Officer Type 1,2,4,9/1,2,9/1,2,4,5,9 Add expected salary to your profile for insights SFC Responsible Officer Type 1,2,4,9/1,2,9/1,2,4,5,9 Our client is with SFC 1, 2,4,5,6 and 9 licenses and is looking for a RO to manage the operations :- Requirements : Degree in finance, banking, accounting, economics, business or related studies Over 8...

Responsibilities Serve as the designated RO for Type 1, 4 & 9 regulated activities, performing all required managerial and supervisory functions under SFC standards. Ensure full compliance with all applicable SFC rules and regulations. Lead the development, implementation, and regular enhancement of internal compliance policies and procedures. Oversee and...

A financial management company in Hong Kong is seeking a Responsible Officer (RO) to oversee compliance management and operational supervision. The role includes ensuring adherence to relevant laws and regulations, liaising with regulatory authorities, and optimizing compliance policies. The ideal candidate will have a minimum of 3 years of experience as an...

Serve as the Responsible Officer (RO) for Hong Kong Securities and Futures Commission (SFC) regulated activities of Type 1, Type 4, and Type 9, fully overseeing the core work of compliance management, operational supervision, and risk control for relevant businesses; Supervise all business activities of the company to ensure compliance with relevant Hong...

A financial services company in Hong Kong is seeking a Responsible Officer to handle Type 1, 4 & 9 regulated activities. You will ensure compliance with SFC regulations, oversee daily operations, and lead change initiatives. The ideal candidate will have a Bachelor’s degree in Finance or Economics, be currently accredited by the SFC, and possess around 5...

Compliance Officer / Senior Compliance Officer Perform day-to-day compliance monitoring to ensure full compliance with SFC, HKEX, and other regulatory requirements. Review and update internal compliance policies, manuals, and procedures. Conduct transaction monitoring, KYC/AML reviews, conflict of interest checks, and personal account dealing monitoring....