SFC Responsible Officer

Responsible Officer (SFC) Assist SFC license application in preparing and setting up process, operations and infrastructure of the firm. Act as Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm. Manage daily operations to ensure full regulatory compliance. Comply with all applicable laws, rules...

About Client: Our client is a well-established and rapidly growing financial services group with a significant focus on alternative investments. We are dedicated to excellence, innovation, and maintaining the highest standards of regulatory compliance and client service. As part of our strategic expansion in the Asia‑Pacific region, we are seeking a highly...

A consulting firm in Hong Kong is seeking a Responsible Officer (SFC) to assist with SFC license applications and oversee compliance with regulations. The ideal candidate will have a minimum of 5 years of experience in SFC licensed firms and hold a relevant Responsible Officer license. Key responsibilities include managing daily operations and acting as the...

Founded in 2015, ZMF is the financial flagship of Hand Yu Group, a comprehensive enterprise in Hong Kong. The company's core positioning is professional investment and financing. Among its associated entities, ZMF is a licensed institution of the Hong Kong Securities and Futures Commission (holding Type 1, 4, and 9 licenses). ZMF’s Independent Portfolio...

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...

Responsibilities Oversee Type 9 regulated activities (asset management) to ensure compliance with Hong Kong Securities and Futures Commission (SFC) regulations Manage daily operations, including trading, settlement, risk management, and client services, ensuring adherence to regulatory standards Perform regular AML and KYC checking of current and potential...

A financial and consulting services group is urgently seeking to hire a Responsible Officer in Hong Kong. The role includes supervising SFC regulated activities and ensuring compliance with laws and standards. Ideal candidates should have a strong understanding of the SFO and conduct regulations, alongside proficiency in English, Cantonese, and Putonghua....

A leading financial services firm in Hong Kong is searching for a skilled SFC Responsible Officer (Type 1, 4 & 9) to oversee regulatory compliance and support business growth. The ideal candidate will possess a deep understanding of SFC regulations and demonstrated leadership in compliance roles. Responsibilities include managing trading operations and...

Our client is a newly incorporated company aiming to apply for an SFC license to conduct Type 4 and Type 9 regulated activities in Hong Kong (not holding client assets, PI only). They plan to manage private fund investing in tokenized products. Currently, they are seeking 1 Responsible Officer to join their team. Candidates with experience in asset...

A financial services firm in Hong Kong is seeking a Responsible Officer (SFC Type 4, 9) & Head of Operations. The role involves developing compliance policies, managing regulations, and supervising fund operations. The ideal candidate must be accredited as a Responsible Officer, have at least 3 years of experience in the financial services sector, and...