Senior Licensed RO: Securities Compliance Leader

Licensed 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...

SFC Responsible Officers (RO) (Virtual Asset Management / Trading) RO of SFC Type (1/2/3/4/5/6/7/8/9/10) Responsible Officers (RO) 1.1 Job Highlights Virtual Asset Management / Virtual Currency Trading related experience preferred Current holders of unconditional RO preferred Current Rep with enough experience considered Min 3 years industry experience Full...

A financial institution in Hong Kong is seeking a Responsible Officer with SFC licensing expertise to lead the application for SFC Type 1, 4, and 9 licenses. The ideal candidate will have at least 5 years of experience in securities and asset management, demonstrating strong project management and understanding of regulatory frameworks. Fluency in English...

A local financial firm in Hong Kong is seeking an experienced Insurance Brokerage Responsible Officer to manage daily operations and compliance for their new insurance broker venture. Candidates must have a bachelor’s degree, hold an RO license, and possess 3-10 years of insurance industry experience. Proficiency in English and Cantonese is required. The...

Our client, a Hong Kong-based security firm, is seeking a RO (SFC 1,4&9) to join their team due to recent expansion. The role will focus on a broad spectrum of markets. The RO will report directly to the board members of the Group, responsible for implementing business strategies and managing investment projects. This role must focus on distribution. Key...

Head of Bancassurance (Digital Focus, experience in applying broker license) This is a confidential search for a digital bank in Hong Kong, committed to revolutionizing the financial services landscape. They leverage cutting‑edge technology to provide seamless, accessible, and innovative banking solutions to our customers. As part of our strategic...

ComplianceConsulting Limited was established in 2003, and is the first financial services consulting company in Hong Kong, offering regulatory and compliance advisory services to financial intermediaries. Our clients include brokerage houses, futures trading companies, corporate finance advisors, funds trading platforms, independent financial advisors, asset...

A licensed brokerage firm in Hong Kong is looking for a Responsible Officer (RO) for Type 9 regulated activities, focusing on public fund management. The ideal candidate will lead the license application process, manage product authorizations, and oversee portfolio performance. Requirements include current SFC Type 9 qualification, a relevant university...

Responsible Officer - RO Type 1, 2, 4, 5, 9 Add expected salary to your profile for insights Location: Hong Kong | Industry: Financial Services | Group: Multi-national Greater China-based Investment Group Responsibilities: Serve as SFC-licensed Responsible Officer overseeing Type 1, 2, 4, 5 & 9 regulated activities. Act as key liaison with SFC to ensure full...

Responsible Officer (RO), Brokerage Department Strategic Planning and Business Development: Assist in formulating overall strategies and implementation plans for business transformation. Design and promote innovative product lines covering brokerage and wealth management services. Analyze market trends, identify opportunities, and collaborate with senior...