Responsible Officer

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...

Requirements:- Bachelor-s degree or above in related fields of Law, Finance, Business, or other related disciplines;- Current SFC Type 9 Responsible Officer licence holder would be an advantage;- Minimum 6 years of relevant Responsible Officer experiences are essential (N. B. : Re- Qualified RO experiences will NOT be counted and considered);- Sound...

With the expansion of the are of investment, a Hong Kong listed company engaged in property development and investing in ventures related to its core businesses and associated industries is looking for the following position: RESPONSIBLE OFFICER (TYPE 1) Responsibilities Act as Responsible Officer to supervise SFC Type 1regulated activities Supervise and...

Responsibilities Support the application and renewal process for Insurance Brokerage Licenses under the Hong Kong Insurance Authority(IA). Manage daily customer inquiries related to general insurance products, oversee policy administration, and ensure effective insurance program delivery. Ensure compliance with all regulatory and RO obligations, oversee and...

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...

Roles & Responsibilities In-depth knowledge and experience of mergers and acquisitions, eligible to advise on Codes on Takeovers-related matters in a sole capacity (i.e. Takeovers Code Responsible Officer). Lead and execute syndication work for mergers and acquisitions, follow-on offerings, convertible bonds, and private placements etc; develop and execute...

Our client, an SFC‑licensed financial institution, is seeking a Responsible Officer (Type 1 & Type 2) to support its expansion. Key Responsibilities Manage the full account opening and approval workflow end‑to‑end, ensuring all KYC/AML, documentation, and suitability requirements are met without dedicated support staff. Assist in onboarding and...

A financial and consulting services group, providing a wide range of financial advisory, stock-broking and asset management services is urgently looking for the captioned position: Responsibilities Flexible Working Hour Actas Responsible Officer with management responsibilities and duties to supervise SFC regulated activities of the firm Comply with all...

Responsibilities Lead the application for the company's HK compliance license. Collaborate with internal and external teams to interpret regulatory policies and formulate multi-stage license application and upgrade strategies. Design and implement a compliance framework that meets SFC requirements, regularly review the compliance of the company's business,...

Recruiting Position: Insurance Brokerage Responsible Officer Company Background: The company is a local firm with a background in the financial industry. It has now made a strategic decision to expand its service offerings by applying for an insurance broker license. It plans to use its strong client relationships and industry expertise to grow this new...